Consulting Services for Broker/Dealers and Financial Institutions

With more than 30 years of experience in the financial services industry, Harold Thomas and his on-call associates provide compliance and general consulting services to a range of financial entities, including:

  • FINRA registered firms
  • Bank Broker/Dealers
  • RIAs
  • Banks and other financial institutions
Contact us today for more information on how the Harold Thomas Group can provide you with common sense solutions for your compliance, regulatory, and operational needs.