What makes 1st BridgeHouse different?

1st BridgeHouse provides solutions to compliance and regulatory issues while also understanding the requirements of sales, operations, and management. We “bridge the gap” between compliance and management, between sales and operations, and between the firm and the regulators.

1st BridgeHouse Consulting LLC deals with securities and other capital market regulatory issues affecting broker-dealers, banks, credit unions, and other financial service firms. Whether starting a broker-dealer, conducting a required regulatory audit, or testing your procedures, 1st BridgeHouse Consulting can save you time and money while providing your firm with an increased level of expertise.

In this new and progressively complex world of regulatory compliance, it has become increasingly important (and sometimes mandatory) for broker-dealers of all types to have an independent expert review policies and procedures, conduct AML tests, and perform examinations of offices. However, many consulting firms only understand the regulations and have little knowledge of the business aspects of running a broker-dealer. While these companies are good at discovering issues that need to be addressed, their focus is often limited to fixing the immediate problem in that department, and the result can be restrictive to other units. 1st BridgeHouse is different – we understand compliance, operations, sales, and management. Our solutions take all of your departments into consideration.

Typical Clientele

1st BridgeHouse has consulted with a wide range of clients: regional broker-dealers, bank affiliated broker-dealers, independents, clearing firms, domestic and foreign banks, credit unions, investment advisors, law firms, and issuers of securities.