As a small limited purpose broker dealer

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You need experienced, reliable and responsive support that won't break the bank.

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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.

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You are in the right place if you are:

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• 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. 

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•  An established broker dealer needing support in maintaining your supervisory procedures or smooth running of your compliance program; or

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• In need of your annual AML audit.

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Credentials

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.