Broker/Dealer Registration

The most comprehensive, all-inclusive registration package offered in the industry…we specialize in managing the entire process for you from beginning to end.

New Broker/Dealer Registration

The expert staff at Compliance Advisers streamlines the entire New Membership Application (“NMA”) process to remove the burden of completing this comprehensive and often overwhelming task allowing our clients to focus on the business aspects of their new broker dealer.

Our experience allows us to efficiently manage each step of the application process– from developing the customized Business Plan unique to the Firm’s business and which meets FINRA and SEC guidelines…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 the new broker/dealer started on the right foot.

Contact us or Request a Customized Quote now for an all-inclusive price to  register your new broker/dealer or investment adviser business today!

 

Customized Compliance Solutions™