PHONE
407-696-9600
FAX
407-629-9006
warren@forestbrokerageadvisers.com
rhonda@forestbrokerageadvisers.com
General Consulting
Many customized consulting services can be provided by FBA. We have assisted hundreds of firms through the approval process required under FINRA Rule 1017.
We offer assistance in the following:
Adding additional products and services.
Changes in ownership and/or management.
Increasing number of representatives.
Expanding number of branch offices.
Other General Consulting Services may include:
CRD service bureau services, whereby, you can rely on our extensive
knowledge of the CRD electronic filing platforms.
Blue sky state registrations for all U.S states and territories requiring
registration.
Other regulatory, compliance and registration services.
Preventative maintenance resources.
Broker/Dealers who defend themselves against adverse regulatory, or
customer actions. While we cannot guarantee success in all cases, we
have been quite successful in mitigating, or eliminating many adverse
actions.
Fees for our general consulting services are generally available on an hourly basis. Since they can vary due to the nature of each specific engagement, we encourage you to contact us online, or at
(407) 696-9600 for a quote.
