Navigating through the myriad of rules and requirements in today’s regulatory environment presents increasing challenges, regardless of the size of your business.  Dunn Consulting and Training LLC offers specialized compliance assistance to transfer agents and broker-dealers to successfully meet the regulatory demands in the modern securities industry.

Transfer Agents

Regardless of the size of your agency (sole proprietorship, bank-registered, large professional, issuer or third-party administrator), Dunn Consulting and Training has the experience to assist you with your compliance needs.



Emphasizing compliance examination and inspection services, Dunn Consulting and Training services both clearing firms and introducing brokers by tailoring the available services to your needs.



Recognizing that in-house training budgets have been an area of cost cutting, Dunn Consulting and Training will develop and conduct training for your staff as your needs require.