RIA and Broker-Dealer Registration

Thousands of advisers have relied on the expertise of our team of industry professionals and former regulators during their registration and business planning process. And we can do the same for you!

Filings include:

• FINRA Entitlement
• Form ADV Part 1
• Form ADV Part 2A
• Form ADV Part 3
• Form U4 for One Representative, additional are extra
• Form ADV Part 2B for One Representative, additional are extra
• Additional filings documents and regulatory paperwork
• Filing in primary jurisdiction, additional are extra
• Code of Ethics
• Policies and Procedures Manual
• Investment Advisory Agreement
• Financial Planning Agreement
• Privacy Policy

Financial Industry Regulatory Authority (FINRA) membership does not come easily, especially considering the in-depth knowledge and exhaustive effort that is required to complete the appropriate filings.

COMPLY compliance professionals apply efficiency and knowledge to the process, guiding broker dealers through registration and helping you establish (New Member Application) or modify (Continuing Membership Application) your business. Rely on COMPLY for:

• Proper fulfillment of all compliance requirements
• Information and document organization on a firm’s behalf and with their collaboration, including the business plan, policies and procedures, education analysis and training plan, and all applicable forms (BD, U4 and BR)
• A liaison who will work with the firm and the FINRA examiner to review the application and respond to requests for additional information and documentation