100+ Years of Experience - at your service.
Technology, Advisory, & Consulting
Specialized services for US broker-dealers and international firms with US operations. Leveraging decades of expertise to navigate complex financial landscapes.
Ever-increasing rules from FINRA, SEC, MSRB, etc., and frequent regulatory changes make compliance overwhelming. Broker-dealer firms today confront a range of challenges in the face of this ever-evolving regulatory landscape.
Surge in new rules, increased exam frequency, and a 22% rise in FINRA enforcement actions underscore the cost of noncompliance.
Non-compliance now costs nearly 3x more than compliance, large fines, reputational risk, and lost business add up fast.
Managing CAT, Best Execution, and Risk controls demands precision, inefficiencies erode margins and competitiveness.
Small and mid-sized broker-dealers often lack the capacity or specialized expertise for proper risk modeling, tech integration, and compliance which stretch resources thin.
cuttone is a specialized technology, advisory and consulting firm serving U.S. broker-dealers and international firms with U.S. operations. Founded by industry veterans with over 100 years of combined experience across brokerage, compliance, trading, risk, technology, financial engineering, and internal and external audit.
We help clients turn operational and regulatory demands into strategic advantages—because when executed well, operations, risk management and compliance are not just requirements, they’re growth drivers.
To empower broker-dealer firms to navigate regulatory complexity and optimize their operations by providing expert, integrated consulting solutions in compliance, trading, risk, and technology.
We envision a financial industry where firms of all sizes can confidently meet regulatory obligations while innovating and thriving in a competitive marketplace.
Unparalleled expertise, holistic service offering, and tangible impact on clients’ success. Enhanced compliance confidence, operational efficiency, and business growth.
We are a founder-led firm specializing exclusively in the broker-dealer space, built by industry veterans who have operated in the trenches. Unlike large consulting firms, we bring firsthand experience as builders and operators who have solved the very challenges our clients face. We don’t just advise—we work shoulder to shoulder with your team, embedding seamlessly to deliver practical solutions and drive measurable outcomes.
As a one-stop shop, we deliver integrated solutions across compliance, risk, operations, and technology. Our value is in our execution and integration—we work as an extension of your team to drive results with clarity, speed, and expertise.
Our consultants are partners in the firm, bringing deep expertise and direct accountability to every engagement. You get strategic insight and hands-on execution from experienced professionals, every step of the way.
We measure success by your outcomes - smoother exams, fewer regulatory findings, and streamlined operations. Our work reduces compliance and operational overhead, improves margin, and drives lasting performance gains.
We tailor our support to your needs, whether it’s a quick consult or long-term initiative, on-site or remote. Our model is built for seamless integration with your team and workflows
We support firms in building and maintaining robust supervisory systems, from drafting and updating WSP’s and SOP’s, to designing effective compliance checks and supervisory controls. Our team can guide clients through regulatory exams and audits and build systems to ensure accurate, timely reporting for CAT, CAIS, and TRF.
With deep capital markets expertise, we support the full trade lifecycle for broker-dealers—across share-based and notional-based activity in equities, options, and fixed income. From execution and routing to clearing and post-trade risk, we deliver system design, execution protocols, and custom controls to manage exposure and drive performance.
We model market, credit, and operational risk in real time using VaR, ETL, and high-performance compute for rapid stress testing. Services include portfolio margin analysis, structured product design, NSCC/DTC exposure management, and portfolio construction with hedging strategies—all optimized for risk-adjusted performance and capital efficiency.
We prep firms for FINRA and SEC audits, perform mock exams to mitigate risks and avoid findings. Strengthen internal controls over compliance (ICOC) enhances financial reporting readiness, and provides hands-on FINOP consulting. We also support SOC2 and AML reviews.
We design and optimize service workflows, implement best-practice frameworks, and integrate tools to streamline delivery. Our support spans change management, KPI-driven performance tracking and incident response planning, and all underpinned by scalable SOPs and targeted team training.
We modernize tech stacks with fit-for-purpose tools—from surveillance and reporting platforms to workflow automation. Our approach includes mapping operational processes, optimizing data structures, and embedding telemetry to track system health and performance. With deep informatics and analytics expertise, we unlock insights from trade and compliance data to power smarter decisions and scalable oversight.
Every broker-dealer has different needs—some seek strategic assessments, others require hands-on project execution or ongoing advisory support. We offer flexible models including retainers, project-based work, and success fee arrangements. Whatever the format, you get senior-level expertise, practical solutions, and measurable results.
Trusted by Industry Leaders
We’ve partnered with leading broker-dealers, fintech companies, and financial institutions to deliver transformative results.
100+ Years of Experience - at your service.
Whether you need a strategic assessment, hands-on execution, or ongoing advisory — it starts with a conversation.
A founding partner will personally respond.
