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MEETING THE NEEDS OF INVESTMENT ADVISER & BROKER/DEALER FIRMS

Get the insights you need
& the attention you deserve.

Regulatory Risk & Compliance Services

Get To Know Us

Solid can now be located and is listed on FINRA’s Compliance Vendor Director (“CVD”) located at
www.FINRA.org.

WE INVEST THE TIME TO DEVLOP

Innovative Solutions

leverage our experience and insights to create solutions to mission critical challenges and develop strategies that propel your business forward.

OUR CLIENTS SEE US AS

A Trusted Partner

Solid™ consultants have been working with investment advisers and broker/dealers for more than thirty years, on average. Consultants utilize their experience to meet the unique requirements under Federal, State and Self-Regulatory Organization (SRO) to ensure your specific concerns are addressed.

WE HAVE THE EXPERIENCE TO OFFER

Helpful Resources

Cybersecurity Programs

Cybersecurity Risk Assessments & Development of IT Policies

Anti-Money Laundering

Independent AML Examinations For Broker Dealers, Banks, Credit Unions & Financial Service Companies

On Site Examinations

Corporate & Branch Office Examinations

Solid can now be located and is listed on FINRA’s Compliance Vendor Director (“CVD”) located at
www.FINRA.org.

 
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