© 2017 Aliso Advisors

Broker / Dealer Initial Registration

Starting-up a new broker/dealer with an effective compliance infrastructure from day one is a difficult and expensive endeavor. Completing the Financial Industry Regulatory Authority (FINRA) membership application and related documentation requires highly-specialized knowledge. Achieving membership may be one of hardest tasks you have ever attempted, but an experienced partner like Aliso Advisors can make the process smoother and less painful. Aliso Advisors will:

  • Invest a significant amount of consulting time with each client to ensure proper fulfillment of all compliance requirements. This in-depth approach keeps the process moving with minimal delays.

  • Complete information and document gathering on your behalf and with your review, including:  Business Plan, Written Supervisory Policies and Procedures, Continuing Education Needs Analysis and Training Plan, Principal Experience Narratives, Form BD and Form U4 and Form BR (for branch locations)

  • After submitting the most complete application possible, Aliso Advisors becomes a liaison between you and the FINRA examiner reviewing your application. We anticipate questions and requests for additional documents and respond quickly and accurately with a goal of final approval.

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