New BD or RIA

If you have determined that you are ready to start your own Broker/Dealer or RIA, then our compliance experts can make the process a painless as possible. The lengthy registration process makes the set-up of a Broker/Dealer laborious and time-consuming. Our experts have set up numerous Broker/Dealers and RIA’s (state registered and SEC registered), expediting the start-up process tremendously. Our team has the experience, expertise and vast industry contacts needed. Our goal at Securities Compliance Management is to provide services based on each client’s needs. For example, some clients want us to do all the behind-the-scenes work. Others wish to have us manage the process and allow their team to contribute towards the work product. Either way, we can help you reach your final goal in accordance with your budget.