3900 Veterans Memorial Highway, Suite 360, Bohemia, NY 11716

(631) 801-2900

• Compliance Examination and Audit

• FINOP Services

• Anti Money Laundering Examination,

  Testing, Training & Reporting

• Annual Compliance Meetings

• Rule 3120 Supervisory Controls Review

• Rule 3130 Certification

• New Broker-Dealer Applications

• Best Practices Review of Electronic

  Communications Programs

• Business Continuity Planning

• Disaster Recovery Planning

• Firm Element Needs Analysis & Training Plan

• Branch Office Inspections

• Website Advertising & Marketing Reviews

• Web CRD Filings (Form BD, U4 & U5)

• Prepare & File Annual Firm & Registered

  Representative CRD Renewals


Broker-Dealer Services


Our Strength

Asgard is a leader in the regulatory compliance advisory and consulting services industry. Our strength is providing our clients with expert, reliable, efficient and cost-effective priced services. Our customized programs and services are designed so that you may partner with an Asgard Consultant to structure a compliance program that is appropriate for the size and needs of your firm. Each program provides your firm with either a fixed number of consulting hours or services that can be bundled together, at a convenient, flat monthly rate. The choice is yours.


FINOP and Accounting Services

Remaining in compliance with the broker-dealer requirements of your financial institution is of the utmost importance. Asgard provides outsourcing of FINOP services. We have the licensing and experience that you need to satisfy the FINOP requirements. We have relationships with leading accounting professionals with vast accounting and books and records knowledge. Services Offered include Registering as your Financial and Operations Principal (Series 27), Monthly accounting services, Net Capital Computations, Monthly or Quarterly FOCUS and Statement of Supplemental Income (SSOI), Form Custody and FINRA Schedule I preparation, review, and electronic submission.



Whether you are an established broker-dealer, investment adviser, hedge fund or broker-dealer, Asgard can assist you in staying abreast of the ever-changing regulatory environment and allow you to focus on your core business. Services Offered include Mock SEC examinations, AML independent reviews, Code of Ethics, Risk Controls, Policies and Procedures, Perform or assist in the annual Chief Compliance Officer review, Real time compliance support, Periodic updates of new regulations, and Training of Compliance and Operational staff.


Compliance Outsourcing

Asgard offers a wide range of compliance services on a flat rate or per hour basis. You choose the services that you wish to outsource. We can customize your compliance program and offer solutions that meet the needs of your firm. Asgard can be your back office support system. We have experienced staff available to you to be your resource for any question or issue you may have. We will partner with your firm to assist your broker-dealer, investment adviser, hedge fund or mortgage company with your compliance program. Our customizable compliance solutions will help you meet your regulatory requirements.


Long Island Office

3900 Veterans Memorial Highway Suite 360

Bohemia, NY 11716

(631) 801-2900


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