The start of a new era in industry synergy.
We are working to build the number one go-to resource for all things that may help provide help with
The Financial Professionals Coalition, Ltd. was founded as a diverse resource for over 1.2 million registered representatives, associated persons, traders, bankers, back-office staff, and owners of broker-dealers and registered investment advisors. The Coalition provides courtesy consultations with industry experts. Membership is free.
We will offer easy ways to get help, or at the very least, access to a vetted professional that cares about your issues and will not only hear you, but listen as well. We will serve:
Our Clearinghouse of Resources.
Together, we will figure out the questions to ask and where to go to get the answers.
Join our Member mailing list
Your inclusion in our mailing list is confidential and encrypted. We will respect your privacy unless you tell us otherwise.
Joining as a Member, allows us to update you on the progress of the Coalition's development, including additional resources, ahead of publication. It will keep you informed of the issues on which we are currently working and any things we hear around the water cooler.Join
Tell us what's on your mind.
Contact us and we'll refer you to a professional who specializes in your area of concern.
Contacting us will help identify the most pressing issues and enable the Financial Professional Coalition to address them with credibility and strength, on behalf of our entire community.Contact Us
Access to curated specialty divisions for helping our members to the best resource or professional.
Members will have access to listing and contact information for the Financial Professionals Coalition division(s) specialized to help refer them to the correct area that best serves them. If, as a member, you don't see a division that focuses on your issue, we will encourage you to let us know and we will find a resource and create a division to deal with your concerns.Join
As a member, access to a toolbox of Financial Industry specific resources to help you get through the day, is only a quick email away.
Most important, as our membership numbers grow, our voice will have more impact, at many levels, and help shape a regulatory environment in which we can all exist without the fear of retribution that constantly hangs over our heads.
A growing list of highly qualified professionals, learning of the Financial Professionals Coalition, Ltd. and realizing the need, have volunteered to join the Coalition as a resource available to the 1.2 million professional who provide investment services and who keep our markets moving.
CEO | Buckler
Do you meet FINRA cybersecurity requirements? Ask Vincent Guyaux, CEO at Buckler, a Cyber Program Management Software firm he founded in 2020. Vincent has a deep background in Financial Services cybersecurity compliance and a Certificate in Cybersecurity Risk Management from Harvard University. He offers free advisory service to validate your compliance. Continue Reading
Robert is dedicated to providing legal expertise and advocacy that will empower his securities and financial services clients to operate their businesses and pursue their professions with as little disruption and cost as possible when faced... Continue Reading
Owner | RIA Choice
Simon Hoyle is the owner of RIA Choice, a national recruiting firm based in Houston, TX. He has worked in the financial services industry since his Marketing Specialist position at AIM Investments(now Invesco) in 1991. While he was the sales desk manager of... Continue Reading
CO-FOUNDER | RND Compliance
Dave Banerjee CPA (Ret'd) is co-founder and advisor to RND Compliance. Under Dave's leadership RND Compliance provides customized compliance consulting, risk assessments, exam and review services, outsourced FinOp & CCO, new member registration... Continue Reading
CEO | The ASCHCO Consulting Group
Erik D. Aschenbrenner is the founder and Chief Executive Officer of The ASCHCO Consulting Group. He has been in the securities industry for more than 45 years, and has headed a Compliance, Regulatory, and Risk Management consulting practice for the past 20 years... Continue Reading
White Collar Consult
In 1989, Coleman Flaherty embarked on a distinguished 16-year career as a registered stockbroker on the illustrious streets of Wall Street. He contributed significantly to renowned firms such as Morgan Stanley and Lehman Brothers, bringing a unique blend of insight and acumen to the table.
In 2005, he decided to... Continue Reading
CEO | My Perfect Financial Advisor
Nicholas W. Stuller is one of the foremost authorities on financial advisors and is a respected and outspoken authority on the financial advisory universe. He is the founder and CEO of MyPerfectFinancialAdvisor which intends to be the "eharmony" of matching investors... Continue Reading
The Financial Professionals Coalition is here for all of us. It is born out of frustration with the over-regulated environment in which we work.
Please utilize the following contact form for general inquiries about our services, or to seek help with a specific matter. Become a Member, Click Here .