1. Optimize
    Your Business

    • Selecting a Clearing Firm 
    • Contract Negotiations
    • Strategic Project Management
    • Firm Staffing and Recruiting
    • Secondary Clearing 
    Get started
  2. Our Areas
    Of Expertise

    • Conversion Specialist 
    • FINRA Compliance
    • AML & CEO Certifications
    • Mergers and Acquistions
    • Securities Expert Witness
    Get started
  3. Let Us Help Create

    • Securities Processing Platforms
    • Converting to an Introducing Broker
    • Strategic Project Management
    • Staffing and Recruiting
    • P&L, Product and Process Reviews
    Get started

Thanks for visiting us here at the corner of Bedford and Main

We appreciate you considering us for your broker dealer and wealth management consulting needs. Bedford and Main is a financial services consulting firm with a simple, clean approach to a challenging and dynamic industry. We provide highly customized broker dealer consulting services to independent broker dealers, introducing brokers, clearing firms and secondary clearing firms, along with specialized consulting services for the wealth management industry.We bring to the table 30+ years of experience in hands-on building, growing, restructuring and changing business lines and infrastructure. Our experience ranges from CEO-level leadership, to back-office management of broker dealers, and bank Trust and Custody operations.

We grow our business on strong relationships built from the consistent delivery of results. In fact, our depth of relationships and industry contacts in the broker dealer community are some of the reasons clients turn to us for help, as evidenced by our testimonials page.

Our Areas of Financial Consulting Expertise Focus on:

  • The unique requirements of: Broker Dealers, Introducing Brokers, Correspondent Clearing Firms, Registered Investment Advisors, FCMs and Financial Services firms supporting the industry.     
  • “Real-Life” FINRA Compliance Resolutions: We will assist with your FINRA exams or AWC (Acceptance Waiver and Consent) requirements. We can help implement customized WSPs (Written Supervisory Procedures) and will help to get your firm back on track using industry best practices and available support solutions.     
  • Our “bread and butter” work and expertise focuses on conversions: Whether it be selecting a clearing firm for the first time, changing clearing firms, finding a new correspondent clearing broker, selecting a securities processing platform, or a third party system implementation, we have been through the process and we can assist you.       
  • A network of associates and joint ventures that have allowed us to: assist clients in starting a business, changing their current business strategy, exploring merger and acquisition opportunities, and more.

Talk to us! We are in the broker dealer consulting business because we like people, and we like the industry. There is nothing we enjoy more than the opportunity to simply discuss your issue and see if our services are a good fit.