About Us

Capital Markets Compliance® (CMC) specializes in providing regulatory guidance for financial service firms that offer securities products, including but not limited to private placements, merger & acquisitions, full service brokerage and investment advisory services. CMC is known as a leader in compliance & accounting for financial service firms and a trusted advisor to the financial industry for more than 18 years. CMC provides an array of compliance and accounting service solutions designed to help improve business performance. CMC delivers a comprehensive suite of services based on our clients’ individual needs, which includes assistance with regulatory membership applications, such as Broker-Dealer FINRA, SEC & MSRB and Investment Advisor State and SEC. Our ongoing compliance and financial accounting consultation are billed on a hourly basis or we can set up a comprehensive compliance and financial annual packaged service plan.

Founded: 1999 

Managing Team:  Karen Alvarez |  Rick Alvarez

Headquarters: Atlanta, Georgia

Approximate Number of employees: 17 

Number of clients/customer: more than 100 firms which range from single members to firms with 200 employees and registered representatives

The mission of CMC is to help the firms succeed by helping them with their compliance and accounting functions so that executives can get back to the job of running the firm and generating profits. 



Exam Materials

Prepare for any series exam

CE Courses

Satisfy your annual CE requirements

Running Your BD/IA

Documents & Agreements

Audit Modules

AML & Supervisor Control System

Manuals and Plans


Contact Us 770.263.7300