September 19, 2017 12:17 PM ET

Professional Services

Company Overview of B/D Compliance Associates, Inc.

Company Overview

B/D Compliance Associates, Inc. provides broker/dealer Financial Industry Regulatory Authority (FINRA) and SEC compliance consulting services to existing and start-up operations. It offers services in the areas of ad hoc broker/dealer compliance consulting, FINRA and SEC broker/dealer registration, annual internal compliance inspection (of business lines), continuing education, written supervisory procedures manual, annual compliance meeting, and FINRA and SEC review and analysis aspects. The company was incorporated in 1994 and is based in Lilburn, Georgia.

127 Main Street

Lilburn, GA 30047

United States

Founded in 1994

Phone:

770-923-9632

Fax:

770-923-9760

Key Executives for B/D Compliance Associates, Inc.

Founder, Chief Executive Officer and President
Age: 55
Chief Administrative Officer
Vice President of Business Development
Vice President of Consultative Services
Compensation as of Fiscal Year 2017.

B/D Compliance Associates, Inc. Key Developments

B/D Compliance Associates, Inc. Appoints Matt Chimento as Vice President of Business Development

B/D Compliance Associates, Inc. announced and welcome Matt Chimento as the company's Vice President of Business Development. Mr. Chimento will be responsible for developing and implementing a comprehensive internal and external marketing plan that will align the company's regulatory compliance consulting services to current needs in the financial services marketplace. He joins the B/D Compliance team from BasisCode Compliance located in Atlanta, GA where he served as the Head of Sales.

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Recent Private Companies Transactions

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