Firm Registration

Start Your Broker-Dealer Journey with Confidence

Register your broker-dealer in 90 days with expert FINRA and SEC guidance from end to end — entity formation, compliance program, Form BD, NMA, and operational launch.

Phase 1 — Foundation

Start Strong with Expert Guidance

We start with a detailed consultation, then build your entire regulatory foundation from entity formation through FINRA approval.

Consultation & Strategy

Free 60-minute consultation to determine the correct regulatory path. Personalized strategy and a clear regulatory roadmap with all milestones and timelines.

Compliance Program Design

Tailored compliance program covering WSPs, Anti-Money Laundering (AMLCP), Customer Identification Program (CIP), Business Continuity Plan (BCP), and Lost & Stolen Securities Program.

Entity Registration

Draft your firm’s business structure — corporation, LLC, or partnership. Liaise with legal counsel and file entity registration with State government.

New Membership Application (NMA)

Prepare and file your NMA with FINRA, ensuring all documentation is accurate and complete. Our team liaises with regulatory bodies, addressing any queries promptly.

Phase 2 — Full Build-Out

Everything You Need to Launch

From Form BD to your FINRA membership interview — we handle the full project so you can focus on building your business.

Advertising & Marketing Review

AI-powered review of advertising and marketing materials in compliance with SEC and FINRA rules. License our AI RegTech platform or have us perform reviews for you.

Electronic Communications Surveillance

AI technology monitors all digital communication channels — email, chat, social media — flagging content for regulatory infractions automatically.

Operations & Systems

Sourcing and completing fidelity bond application, selecting a clearing firm, regulatory platforms, customer account management, and record-keeping systems.

Technology Connections

Connect you with cutting-edge broker-dealer platforms that leverage AI to reduce workload and enable rapid business growth.

Registrations Checklist

Complete Registration Coverage

Every filing, every form, every follow-up — handled by our licensed team.

Prepare and submit Uniform Application for Broker-Dealer Registration (Form BD)

Assist with Central Registration Depository (CRD) and New Membership Application (NMA)

Complete and submit Form U4 for all registered personnel

Draft content for the FINRA membership interview

Develop a comprehensive business plan

Complete state registration assessment and applications where applicable

Assign principal registrations and executive positions (Series 24)

Liaise with FINRA as needed throughout the project to streamline approval

Source outsourced principals (Series 24) if needed

Establish comprehensive AML procedures and train staff

Ready to Launch Your Broker-Dealer?

Schedule a free 60-minute consultation and get your regulatory roadmap within 5 business days.

Schedule a Free Consultation