FIRM REGISTRATIONS

Form NMA

Compliance Advisers has been registering new broker/dealers for more than 20 years. We have continued to stay abreast of FINRA’s (previously NASD’s) New Membership Application (“NMA”)process as the requirements have evolved throughout the years . We are uniquely qualified at processing FINRA’s new electronic Form NMA which went into effect in 2008, having processed several applications since its launch.

Forms BD & ADV

Compliance Advisers has extensive experience with CRD/IARD filings for broker/dealers and advisers to ensure that the information regarding your firm is maintained accurately as required by SEC regulations and FINRA rules. Furthermore, Compliance Advisers offers comprehensive state registration and notice filing services to properly register your firm in all states and U.S. territories. The requirements for broker dealer/adviser registration vary from state to state and can be quite extensive but our years of experience with this process has enabled us to become expertly familiar with state regulators, requirements, statutes and exemptions to make the process as effortless as possible for clients to efficiently achieve proper registration.

Forms U4 & U5

Likewise, our experience with CRD/IARD filings allows us to assist our clients to expedite individual registration requirements quickly and accurately so your registered representatives can start or continue to conduct their securities business with your firm.

Click here to inquire or call us today at (303) 795-0400 for a customized quote specifically for your business needs and budget.