Bedford and Main Financial Consulting, Inc. Employee Directory
Financial ServicesUnited States2-10 Employees
Formed in 2012, Bedford and Main Financial Consulting provides consulting services catering to all aspects of the broker-dealer community: Start-up Brokers, Introducing Brokers, Correspondent Clearing Firms, Self-Clearing Brokers, and “Piggyback” Firms. Yes, we will assist other related financial services clients when it’s a good fit, but we stay true to our core competencies as we call upon 40 years of hands-on experience managing brokerage firms. While based in the metropolitan Philadelphia area, Bedford and Main's client base is global. Complementing our core consulting services, we continue to evolve our Anti-Money Laundering (AML) independent testing service, which now encompasses all aspects of brokerage AML compliance. We will gladly assist you in designing your own customized risk-based AML program and drafting your firm tailored written supervisory procedures (WSPs). The tremendous growth of our Securities Expert Witness and Litigation Services proves that our practical knowledge and experience in operational and compliance consulting readily complements supporting security litigations. We are proud to represent either side of the legal table in assisting to support an ethical and honest industry with the highest standards of fairness for broker-dealers and clients alike. Our Areas of Expertise Include: • Compliance Support: FINRA Supervision and Compliance / AWC Resolutions • Self-Clearing Analysis • Strategic Project Specialist • Conversion Specialist: Correspondent Clearing Changes/ B-D System Conversions/ System Evaluations and Implementation • Expert Witness and Litigation Support • Anti-Money Laundering: Annual FINRA 3310 Test (CAMS Certified)/Program Development/ WSPs • Compliance System Reviews • Broker-Dealer Start-Ups Visit our testimonial page to see how well we are doing: www.BedfordandMain.com/testimonials
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