Financial & Compliance

As part of our mission to help brokerage and investment professionals develop a robust and diverse business, Brightwork also offers consulting services…

Consulting services are tailored to meet specific needs and to promote and ensure compliance with constantly changing regulatory rules and regulations. In the shadows of what is sure to be historic legislative reform, uncertain economic times and advancing technology, today’s financial services industry faces extraordinary challenges. Now, more than ever, you can’t afford to let regulation and bureaucracy derail your plans for growth and development. Contact us at (872) 215-6403 or by email at

  • Series 27 Financial & Operations Principal (FINOP)
  • 1-FR and FOCUS Reporting
  • Compliant programs for AML, BCP and Sales Supervision
  • Full-Scope Accounting and Bookkeeping
  • Client Representation for Regulatory Financial and Compliance Audits
  • Net Asset Value (NAV) Computations
  • Registration Applications & Maintenance
  • Customer Complaint Resolution
  • Payroll and Commission PayoutsReserve Formula Computations
  • Branch Office Audits & Promotional Material Compliance Reviews

Brightwork Financial Services provides financial, operational and regulatory consulting services to all types of financial firms including, Broker-Dealers, FCMs, IBs, and Advisors.  Whether you’re a startup firm or well-established; whether you have several problems or just one; Brightwork has the experience to offer you tailor-made solutions to fit your specific needs. We can help you identify potential exposure issues and work with you to develop comprehensive and cost-effective solutions.

Contact information:

Telephone:  (872) 215-6403