Experienced. Reliable. Responsive.
As a small limited purpose broker dealer
You need experienced, reliable and responsive support that won't break the bank.
With Carolyn Kasky, you get over 20 years of industry and compliance experience. She has both an understanding of the industry as a Chief Compliance Officer and consulting know-how to tackle your important projects.
You are in the right place if you are:
A new broker dealer preparing for your first FINRA examination or need assistance in setting up your Continuing Education or anti-money laundering (AML) programs.
An established broker dealer needing support in maintaining your supervisory procedures or smooth running of your compliance program; or
In need of your annual AML audit.
Carolyn has a clean U4 and the Series 7, 24, 28, 79 and 99 licenses.
She maintains the Certified Anti-Money Laundering Specialist (CAMS) designation and is a board member of the National Society of Compliance Professionals (NSCP) where she is a speaker and serves on the several committees.
She is located in the northeast corridor and, thanks to modern technology, anywhere you are.
For reliable and reputable expert help and a complimentary consultation, please call 215-493-1559.
What Others Are Saying
“Your knowledge of FINRA compliance and rules are extremely valuable to our firm. In addition, you continually keep abreast of regulatory changes and new rules, and you are proactive in updating the firms’ procedures to reflect new and upcoming rules”.
-Diana L., Office Manager and Compliance Support - Investment Banking