Broker Dealers

We provide a comprehensive suite of services, including SEC and state registration, SRO membership applications, development of compliance programs and documentation, and establishing and training compliance staff.

We will review your compliance and operations procedures and processes, examine offices and trading review practices, analyze contracts and disclosure documents and assist in enhancing your compliance and operations.

We represent firms and associated persons before the SEC, FINRA, NFA and professional accreditation agencies (e.g., CFP) and work to resolve and mitigate any potential violation or sanction.

We assist firms and individual representatives/offices with acquisitions, sales, and practice transfers. Our services include negotiating the terms of the transaction, satisfying regulatory and compliance due diligence and reporting, structuring the transaction documents and facilitating the transition.