- Selecting a Clearing Firm
- Contract Negotiations
- Strategic Project Management
- Firm Staffing and Restructuring
- Secondary Clearing
- Conversion Specialist
- FINRA Compliance
- AML & CEO Certifications
- Mergers and Acquistions
- Securities Expert Witness
- Financial Advisor Services
- Securities Processing Platforms
- Converting to an Introducing Broker
- Strategic Project Management
- P&L, Product and Process Reviews
Thanks for visiting us.
THERE ARE ALWAYS GOOD THINGS HAPPENNING HERE AT THE CORNER OF BEDFORD AND MAIN!
Bedford and Main is a financial services consulting firm with a simple, clean approach to a challenging and dynamic industry:
Our expertise is focused. We provide consulting services to Introducing Broker Dealers, Correspondent Clearing Firms, Secondary Clearing or “Piggyback” firms, Startup Broker Dealers, Registered Investment Advisors and Financial Services firms supporting the industry.
Our experience is fresh and relevant. Remaining very actively engaged in the industry, we bring to the table 35 years of senior experience in hands-on building, growing, restructuring and changing business lines and infrastructure. Learn more about Our Approach.
We continuously expand services. In response to feedback from clients, we have successfully established support for small firms' merger and acquisitions initiatives, developed Anti-Money Laundering testing services, and established Securities Expert Witness support.
We grow our business on strong relationships. 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. The result? With only a few years under our “consulting” belts, we are quite proud to point you to our Testimonials page.
Our Areas of Financial Consulting Expertise Focus on:
- Your Unique Requirements: From start-ups, to independent financial advisor firms, prop-traders, web discount firms, traditional W2 FA shops, to firms supporting only foreign accounts, we know this business well.
- “Real Life” FINRA Compliance Resolutions: We will assist with your AML testing, FINRA exams or AWC (Acceptance Waiver and Consent) requirements. We can help implement customized WSPs (Written Supervisory Procedures) and we 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, creating a secondary clearing arrangement, or a third party system implementation, we will help your team succeed. These are unique challenges that most firms do not face often.
- A Network of Associates and Joint Ventures that Have Allowed Us to: Assist clients in starting a business, changing their current business relationships, exploring merger and acquisition opportunities, and more.
- Certified Anti-Money Laundering (CAMS): Consulting and independent testing reviews.
Securities Litigation Support and Expert Witness Services: We are proud to represent both sides in assisting to support an ethical and honest industry with the highest of standards of fairness for broker dealers and clients alike.