KLS Associates, Inc., is comprised of a network of professionals whose expertise, contacts, and experience are well suited to meet the needs of a variety of regional and local broker dealers. KLS Associates have extensive and complementary backgrounds in diverse areas of the securities industry. KLS has expertise in technology, management, front office, operations, service bureau, administration, and clearing arenas supporting all disciplines of financial services providers. Their career experience includes the successful completion of the following assignments:
- Completed self-clearing vs. fully-disclosed analyses.
- Conducted multi-faceted clearing firm searches.
- Conducted “Best Practices” studies for various industry segments.
Business and Contract Leadership
- Re-negotiated service bureau contracts for regional firms.
- Re-negotiated clearing arrangements for several major firms.
- Formed, restructured, and managed correspondent clearing businesses.
- Re-organized and managed the growth of a leading service bureau.
- Managed the operational and technological consolidation of a major US securities firm and its acquiring bank.
- Restructured a full-line regional securities firm.
KLS utilizes experienced, focused professionals with extensive financial services backgrounds. Our professionals are specifically targeted to meet our client’s needs.