Who We Serve
from the firm to the financial professional
RND serves all levels of the financial services industry, including:
- Broker Dealers
- Registered Investment Advisers
- Fund Managers
- OSJs
- Branch Offices
- Registered Representatives
- Investment Adviser Representatives
- Spouses of deceased Registered Representatives
- Investment Adviser Representatives
- All firm staff
Why work with RND?
Our experts have over 40 years’ experience in FINRA and SEC regulatory and compliance and stay ahead of changes so you don’t have to.
Our Services
Why Work with RND?
Experience
Our experts have over 40 years experience in FINRA and SEC regulatory and compliance and stay ahead of changes so you don’t have to.
Speed
High-speed, efficient turnaround on your requirements.
Flexibility
Ability to work onsite as an extension of your team or fulfill specific compliance and regulatory needs.
Affordable Solutions
Cost-effective and efficient solutions for your business model.
Proven Strategies
Our experts use real-world experience to deliver clear, pragmatic, and actionable solutions to accomplish your business and regulatory goals.
Strategic Partnerships
We partner with the best of the best to ensure the highest level of services.