Broker-Dealer Consulting Projects

Strategic consulting projects vary greatly in definition, scope and complexity. Consulting engagements arise when there is a strong need to have specialized, dedicated resources that are not immediately available with in house staff. We appreciate that the decision to seek outside assistance is not made lightly and we are quite honored to have helped so many high-quality firms in the past few years. 

It has been our pleasure to work in, and with, broker-dealers of all shapes and sizes. Our client list includes introducing brokers, correspondent clearing brokers, prop trading firms, “piggy-back” third party brokers, start-ups and firms looking to acquire a broker-dealer shell to jump start their business.  We understand the dynamics of the industry and pride ourselves on offering services built on our proven management, operations and compliance experience.

Our value is in providing a short-term, highly-skilled resource to supplement your internal resources.

Bedford and Main will work independently, or with your internal team, at your direction. In all cases, we will clearly define the content of each engagement, implement a disciplined approach and promise you will receive feedback and communications throughout the project. We will provide in-depth industry knowledge, project management experience, and objective insights to ensure we achieve your goals.

With 35+ years of operations, compliance and management experience under our belts, we have gotten pretty darn good in a few specific areas:

  • Conversion Specialist
  • Introducing Broker and Clearing Broker Migrations
  • Start-Up Broker-Dealers and Secondary Clearing B-Ds