Our Clients: Broker-Dealer Firms

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Our Broker-Dealer consultants provide expert advice and support that helps you reduce risk and increase growth.

Broker-Dealer Consulting Services For Growth

We understand the challenges you face to growing your firm. Our experts have been in your position, working at some of the largest broker-dealers in the US. We understand the complexities and challenges of running a successful broker-dealer firm. Our consultants will help you define your goals and get there.

Whether you’re starting or expanding your brokerage, we have you covered. Oyster Consulting provides tailored, beginning-to-end broker dealer services. As former regulators, we can streamline the registration process. Our compliance consultants have taken many firms successfully through the New Member Application (NMA) and Continuing Member Application (CMA) process.

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Optimized Processes and Procedures For Higher Returns

Stay focused on your clients and goals by optimizing front-, middle-, and back-office functions. Leverage our experience and industry intelligence, from vendor contract negotiations to developing and implementing an efficient, compliant operating model.

We have the insights and benchmarking that other brokerage consulting firms do not. We know the vendors and systems well, including what they do best and where they fall short. Our broker dealer consulting firm can help you plan for success with gap analyses and system reviews.

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Managed Risk and Balanced Regulatory Requirements

We specialize in balancing regulatory requirements set by the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) with your daily operations to safeguard your firm and clients. We offer a team of compliance, operations, and strategic professionals suitable for broker-dealers of any size or type.

How We Help Broker-Dealers Like You:

  • Efficient Compliance Procedures: We create compliant written supervisory procedures to protect your firm and clients.
  • Error Reduction: Aligning processes with policies and procedures ensures employees consistently follow approved methods, minimizing errors and compliance breaches.
  • Comprehensive Support: Our experts can create your compliance program, ensure trade desk operations follow rules, test controls, and offer outsourced help for positions like COO, CCO, and FINOP.
  • Resource Optimization: With our expertise, you can optimize resources while managing risk and achieving compliance.
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Experience The Oyster Difference

Oyster’s broker-dealer compliance consultants are former industry executives and regulators. We understand the issues you face and provide practical solutions. Our experts can help with compliance, operations, and strategic planning to meet your needs and create long-term value.

In addition to compliance services, we offer a wide range of strategy and operations services. We also offer Oyster Solutions, our broker-dealer compliance software. Our experts use their industry knowledge and proven methods to help you tackle your toughest challenges.

Meet Our Consultants

I would highly recommend Oyster Consulting for anyone looking to grow their business.

President Full-Service Broker-Dealer Partner with Oyster Consulting