About Broker / Dealers

BDC works with both new broker/dealer applicants and existing broker/dealers located throughout the U.S. ranging from small to large with varied product lines.

New Broker / Dealer Registration

BDC provides practical hands on solutions to individuals wishing to establish his or her own business. We have a successful track record of filing applications with FINRA, SEC and applicable states to attain broker/dealer registration for its clients. BD registration services are a turnkey fee including major components to gain membership approval for its clients. BDC provides guidance thru the maze of regulations.

Ongoing Broker / Dealer Services

BDC does not stop once the firm gains FINRA membership. We are there to continue to assist the firm in all aspects of its business. Some of our services include:

  • Registration & Licensing Broker/Dealers and Individuals
  • Rule 1017 filings- Firms change of ownership, add product line etc.
  • Accounting, Net Capital & Focus filing
  • Net Capital requirements [ Click Here to View The Pyramid ]
  • Continuing Education Needs Analysis and Training Plans and Courses
  • Annual Reviews
    • Anti-Money Laundering
    • Rule 3012/3013
    • Branch Office exams
  • Annual Compliance Meetings
  • Written Supervisory Procedures
  • Answering day to day questions
  • Interface with regulators

And much more!

Please request additional information via our information request form under “Contact Us”.