For over 40 years, DFP Partners has been a committed ally to Broker-Dealers,  Registered Investment Advisers, and other financial services firms looking for accounting and compliance services.

During that time, we’ve built a team of dynamic accountants and consultants who bring their exceptional energy and imagination to each of our client’s challenges. We a pledge to always serve the best interests of our clients above anything else.

At DFP Partners, we know our clients are entrepreneurs with little time to wrestle with the intricacies of securities regulation. That’s why we’ve built our business around managing your regulatory burdens as if they are our own — freeing you to focus on what you do best.

Our offerings include, compliance consulting, registration services, accounting and tax support, and outsourced principal roles such as, Financial and Operations Principal (FinOp), Chief Compliance Officer (CCO), Chief Financial Officer (CFO) and Principal Operations Officer (POO). 

Additionally, we provide independent anti-money laundering testing, cybersecurity procedures and training, and branch inspection programs. We can also manage your new or continuing membership applications.

Accounting

Risk & Compliance

DFP Partners

Hale Halasy

Gary Fox

John Cullinane

James Doherty

Scott Daniels

Laura Kelleman

Tatiana Nallbani

Roshni Drepaul

Peter Sinelnikov

Matt Butler

Doreen Vega

Anthony Shaw

Casey M.

The Compliance and Legal Team at DFP Partners is responsible for ensuring that Broker-Dealers, Registered Investment Advisers, and other financial services firms meet all regulatory requirements. This team manages compliance consulting, oversees registration services, conducts independent anti-money laundering testing, and implements cybersecurity procedures and training. Additionally, the team handles branch inspection programs and manages both new and continuing membership applications to help clients navigate the complexities of securities regulation effectively.

Compliance and Legal Team

Accounting Team

Leadership Team

Compliance and Legal Team

About

Team members

Other teams at DFP Partners

Accounting Team

Leadership Team