The FINRA Membership process can be overwhelming. All compliance, supervisory, control, and financial systems must be designed and implemented along with all the required books, records and documentation. We will expertly guide you through the maze and lead the process that includes but is not limited to the following:
We will guide and advise you through the whole process and remain the primary contact with FINRA. As the process progresses, we will be there to meet your needs and lead you through the next steps, including accompanying you to the FINRA membership interview.
Having worked on the FINRA side, we are intimately familiar with the intricacies of the process and know exactly what is required.