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FINRA Membership Application

Quadrant has completed numerous NMA and CMA applications and will address your regulatory requests promptly and efficiently, ensuring a smooth and hassle-free experience for your firm.

Broker-Dealers

Quadrant Compliance Group LLC provides broker-dealer compliance services that support SEC and FINRA rules and regulations.

FINOP & Accounting

Our experienced staff of professionals and accountants can manage full accounting, record keeping, and regulatory matters.

Anti-Money Laundering Compliance Test

Quadrant Audit Group LLC specializes in conducting AML tests that will assist you in detecting and correcting weaknesses and deficiencies in your AML Compliance Program.

Investment Advisers

Quadrant Regulatory Group LLC specializes in supporting compliance efforts for SEC and state Registered Investment Advisers, private funds, and family offices.

How Can We Help?

Get in touch with us to learn how our team of experienced compliance & accounting professionals, and former SEC and FINRA regulators, can ensure you reach your goals.

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