Broker / Dealer Initial Registration

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Establishing a new broker-dealer requires navigating complex FINRA membership requirements and building a comprehensive compliance infrastructure. Our team brings decades of experience in successful BD formations, guiding firms through the intricate application process while creating the foundation for ongoing compliance success.

Our registration process includes:

Complete FINRA Application Management

• Developing your detailed business plan

• Creating customized Written Supervisory Procedures (WSPs)

• Preparing Continuing Education plans and needs analysis

• Drafting Principal Experience narratives

• Filing Form BD, U4, and BR documentation

• Managing all FINRA examiner communications

Beyond just completing paperwork, we work closely with your team to understand your business model and goals, ensuring your compliance framework supports your operations. We anticipate FINRA's questions and requirements, preparing thorough responses that keep your application moving forward efficiently.

Our hands-on approach has resulted in successful registrations across various business models, from retail brokers to investment banking firms. We serve as your dedicated partner throughout the entire process, from initial planning through final approval.