ABOUT US
B/D Compliance Consultants, Inc. was established in 1989 to provide assistance to
broker/dealer and investment advisory firms in adhering to the rules and
regulations of the NYSE, FINRA, MSRB, SEC, and state jurisdictions, with emphasis
on performing branch office audits – both on site and virtually.
Ramona V. Larson, founder and president, has been active in providing regulatory
compliance support for more than 30-years. Her experience includes knowledge
gained as a compliance director, arbitrator, mediator, and registration manager.
Ms. Larson is a FINRA arbitrator and a mediator for the Wisconsin Mediation and
Restorative Justice Center. Her current professional and community activities
include volunteer for the State Bar of Wisconsin Fee Arbitration Program and
member of the City of Mequon, WI, Board of Appeals.
Prior community activities include; member of the Wisconsin Association of
Mediators and member of the District 13 Office of Lawyer Regulation.
COMPLIANCE CONSULTANTS, INC
11490 N PINEHURST CIRCLE
MEQUON,WI 53092
ABOUT US
B/D Compliance Consultants, Inc. was established in 1989 to provide
assistance to broker/dealer and investment advisory firms in adhering to
the rules and regulations of the NYSE, FINRA, MSRB, SEC, and state
jurisdictions, with emphasis on performing branch office audits – both on
site and virtually.
Ramona V. Larson, founder and president, has been active in providing
regulatory compliance support for more than 30-years. Her experience
includes knowledge gained as a compliance director, arbitrator,
mediator, and registration manager.
Ms. Larson is a FINRA arbitrator and a mediator for the Wisconsin
Mediation and Restorative Justice Center. Her current professional and
community activities include volunteer for the State Bar of Wisconsin Fee
Arbitration Program and member of the City of Mequon, WI, Board of
Appeals.
Prior community activities include; member of the Wisconsin Association
of Mediators and member of the District 13 Office of Lawyer Regulation.
COMPLIANCE CONSULTANTS, INC
11490 N PINEHURST CIRCLE
MEQUON,WI 53092
