Broker/Dealer Registration
The most comprehensive, all-inclusive registration package offered in the industry…we specialize in managing the entire process for you.
New Broker/Dealer Registration-The expert staff at Compliance Advisers assists its clients through each step of the application process–from developing your customized Business Plan according to FINRA guidelines & unique to your business
…to preparing customized Written Supervisory Procedures
…to developing the Continuing Education Plan
…Preparation for the Pre-Membership Interview and everything in between
…PLUS…
Six months of General Compliance Consulting Services after the firm is approved to get you started on the right foot.
Broker/Dealer State Registration-Since the requirements for Broker/Dealer registration vary from state to state, managing this complex process can be difficult and time-consuming but our specialists have mastered the process to help you achieve your registration requirements with ease.
Contact us now for an all-inclusive price quote and start your new broker/dealer or investment adviser business today!
- Broker/Dealer Education
- Broker/Dealer Registration
- Compliance Consulting
- Compliance Manuals
- FINRA (NASD) Rule 1017 Material Change Applications
- FinOp & Accounting Services
- Form ADV – Customized Solution
- Form ADV Annual Amendments
- Investment Adviser Compliance Consulting
- Investment Adviser Procedures Manuals
- Investment Adviser Registration
- Mock Compliance Exam
- State Registered Advisers – NOW UNDER $100 MILLION*
- Web IARD/CRD Services
- Request for Quote
Compliance Advisers is a proud member of the National Society of Compliance Professionals. NSCP provides dedicated support to compliance professionals in the securities industry and helps Compliance Advisers stay on the cutting edge of the ever-changing compliance world.
Angel Investors
Venture Worthy evaluates a company's viability for funding based on a number of factors. Compliance Advisers prides itself on operating a business the right way so you can trust us year-in and year-out. Visit VentureWorthy.com for more information.
