PHONE
407-696-9600
FAX
407-629-9006
warren@forestbrokerageadvisers.com
rhonda@forestbrokerageadvisers.com
BD Registrations
Our Broker/Dealer registration service is a total turnkey system designed to assist you throughout the approval process with the SEC, FINRA and State of domicile. Whether you are starting a Broker/Dealer from scratch, or acquiring a member firm through purchase, or merger, FBA provides all forms and paperwork (based upon your representations) to the regulators. We also strive to handle all verbal communications with regulatory personnel on your behalf.
Included in our Broker/Dealer Registration Service:
Comprehensive business plan.
Pro forma financial statements.
Written Supervisory Procedures.
Initial firm element continuing education modules.
Back office recordkeeping systems.
A preparatory seminar with the owner/principals concerning B/D issues
that is held just prior to the FINRA pre or continuing membership
interview.
We offer the opportunity to attend the pre-continuing or continuing
membership interview. (While this is an additional service, we highly
recommend it to facilitate a smooth approval process.)
Fees for our Broker/Dealer registration process can vary according to the complexity of the engagement. Please contact us online, or at (407) 696-9600 to receive a quote for this service.
