leverage our experience and insights to create solutions to mission critical challenges and develop strategies that propel your business forward.
Solid™ consultants have been working with investment advisers and broker/dealers for more than thirty years, on average. Consultants utilize their experience to assist firms in understanding regulatory requirements and any unique circumstances under Federal, State and Self-Regulatory Organization (SRO) to ensure your specific concerns are addressed.
Cybersecurity Risk Assessments & Development of IT Policies
Independent AML Examinations For Broker Dealers, Banks, Credit Unions & Financial Service Companies
Corporate & Branch Office Examinations
Solid can now be located and is listed on FINRA’s Compliance Vendor Director (“CVD”) located at
A Solid™ consultant is available to discuss how your firm can take advantage of all that Solid™ has to offer & move your company forward