617-257-9568  Fax: 978-560-0630

debbie@pranskyfinancial.com

PO Box 2232

Peabody, MA 01960

The Pransky Financial Group

Site design and maintenance  www.sumnerswebs.com © 2011

Compliance and Operational Consulting

to the

Financial Services Industry

Consulting Services

 

◊  Broker-Dealer Registration

 

◊ FINRA Continuance in Membership Applications

 

◊ Anti-Money Laundering (AML) Independent Testing

 

◊ Rule 3012 Written Supervisory Policies and Procedures Testing

 

◊ Regulatory Risk Assessment Review

 

◊ Annual Compliance Meeting

 

◊ Continuing Education – Firm Element Training and AML Training

 

◊ Financial and Operational Consulting

 

◊ Support for the required rewrite and approval of the Form ADV 2

 

◊ Branch Office Audits

 

◊   Email Archiving and Compliance Solutions

Deborah Pransky, President

 

Deborah began her career in the securities industry in 1971 working in the home office operations department of a full service, self-clearing, retail broker-dealer where she performed all of the various “back office” functions that are necessary to properly handle all customer accounts, including the handling of customer funds and securities, P & S, stock record control and cashiering functions. In conjunction with this duties and functions, Deborah gained extensive knowledge in the operations, settlement and clearance functions of The Depository Trust Clearing Corporation (DTCC).   Deborah was also required to interface with both the firm’s internal and external auditors, as well as, the examiners from the various regulatory agencies including the SEC and FINRA.

 

In 1992, Deborah joined FINRA as a Compliance Examiner in the Boston District office.  During her tenure with FINRA, she was responsible for conducting routine regulatory examinations of member firms, member firm financial surveillance through the review of monthly, quarterly and annual financial filings, and the review and processing of membership applications for both new member applicants and existing member firms in the continuance in membership application process.  Deborah was a key member of FINRA’s pilot team that was responsible for the development of the current new broker-dealer membership approval process.   She gained a high level of “hands on” experience with this complex process.  Her continued excellent relationship with the FINRA new member application group provides her clients with the guidance needed to steer them through this complex process.  

 

Deborah was also involved with several FINRA internal projects including peer reviews of other FINRA District offices, preparation of training material for new FINRA examiners, and training new examiners in the Boston District office.  She was also a member of a Regulatory Expertise Group for Internal Controls and Risk Management and creating material for us during regulatory examinations to address internal controls and risk management.

 

In 2005, Deborah joined National Regulatory Services (NRS) as a Senior Consultant in their Broker-Dealer /Consulting Services department.  While there, she worked with a wide range of clients, conducting Anti-Money Laundering independent testing reviews, Rule 3012 supervisory control reviews, regulatory risk assessment reviews, preparation and submission of FINRA new membership applications, preparation and submission of Continuance in Membership applications.  Deborah was also responsible for other consulting services such as preparing material for and conducting Annual Compliance Meetings, assistance in responding the regulatory inquiries, and conducting Firm Element training as required under the FINRA Continuing Education requirements.  

 

Deborah earned her Masters in Business Administration from Northeastern University and holds a B.A. in Economics from Douglass College-Rutgers University.  

 

In February 2011, Deborah formed The Pransky Financial Group, Inc.  Please contact Deborah to explore how The Pransky Financial Group, Inc. can assist you.

As a leader in the field of compliance support for the financial services industry, The Pransky Financial Group, Inc. partners with the following companies whose expertise provides services and products that compliment our consulting services.  

Nummi & Associates, P.A. - Richard Nummi, Esq. Managing Partner

Kaulkin Information Systems - Kloudtrack

Alan Pransky, Director of Sales & Marketing

 

Alan has worked in the financial services and insurance services business for over 25 years in a variety of positions.  At The Pransky Financial Group, Inc., he will have primary responsibility for the sales and marketing, as well as, all associated administrative functions.   Alan has a B.A. in English from University of Massachusetts Amherst and a Masters in Business Administration from Northeastern University.  You may contact Alan to discuss the services that we are offered by The Pransky Financial Group, Inc. at

617-538-0058

For more information about these affiliates, please contact us

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Estee Dorfman

Partner

Dorfman FinOp Services

www.dorfman-finop.com

Estee Dorfman Foster is a graduate of Bentley College and attended graduate school at Suffolk University. She was previously employed by the Financial Industry Regulatory Authority (formerly known as the NationalAssociation of Securities Dealers) as a Principal Examiner. In 2008, she co-founded Dorfman & Dorfman, CPAs. Estee is licensed to provide Fin Op services to US licensed Broker Dealers.