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- Servicing Financial Advisors
- Compliance- FINRA
- Conversion Specialist
- M&A / Expert Witness
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March 2015 Update: If you are a Sterne Agee Clearing client who received a termination notice, please contact us to explore alternatives.
Extract from the FINRA 2015 Regulatory and Examinations Priorities Letter:
Outsourcing “As firms continue to outsource key operational functions to reduce expenses and focus on core business activities, FINRA reminds firms that outsourcing covered activities in no way diminishes a broker-dealer’s responsibility …… Outsourcing will be a priority area of review during 2015 examinations, and will include an analysis of the due diligence and risk assessment firms perform on potential providers, as well as the supervision they implement for the outsourced activities and functions.”
Thanks for visiting us 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, dynamic industry.
We provide highly customized consulting services to securities Broker/Dealers and other related Financial Services firms.
We bring to the table 30+ years of hands-on building, growing, re-structuring 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. (Check out the testimonial page).
We offer areas of expertise including:
- Consulting focused on the unique requirements of: Broker Dealers, Introducing Brokers, Correspondent Clearing Firms, RIAs, FCMs and Financial Services firms servicing the industry.
- “Real-Life” Compliance resolutions – we will assist with your FINRA exams or AWC requirements. We can help implement customized WSPs and will help get your firm back on track using industry best practices and available support solutions.
- Conversion Specialist – Our “bread and butter” work is a conversion related to finding a new correspondent clearing broker, a securities processing system conversion, or a third party system implementation.
- A network of associates and joint ventures that have allowed us to assist clients to:
- Start a new business
- Explore merger and acquisition strategies
Talk to us!
We are in this 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.