Registered Branch Services LLC

Registered Branch Services specializes in providing comprehensive compliance solutions for FINRA-registered branches. We conduct thorough branch inspections to ensure adherence to regulatory standards, perform diligent email surveillance to safeguard against potential breaches and maintain compliance, and utilize customized Written Supervisory Procedures (WSP) checklists to help firms remain aligned with both internal policies and external regulations. Our goal is to support financial institutions in maintaining regulatory excellence and protecting their business operations.