LDM Securities Consulting

LDM Securities Consulting is a consulting firm providing regulatory, compliance and operational consulting services to broker-dealers and investment advisors. We assist broker-dealers and investment advisors of all sizes and types navigate through a constantly changing regulatory maze. We closely monitor regulatory developments and industry best practices. Our mission is to assist our clients in creating a culture of compliance by developing compliance policies, procedures, controls, and training that ensures that our clients are complying with all applicable federal securities and futures laws, rules and regulations that governs their activities. We assist our clients in developing proactive compliance programs that prevent, detect and remediate potential rules violations and regulatory risk. We are dedicated in protecting the reputation of our clients, effectively managing their risk and helping to advance our clients business. To achieve our mission, our consultants work with our clients on implementing programs and solutions that can be effective and efficient over the long term. We strive to exceed our clients' expectations on each assignment.