“I love that the company has created a culture that solicits feedback to continually evolve the product to fit the customers’ needs. The support team is incredibly knowledgeable, and it shows!” – David Becker, CFIP
Ready to register your representatives? We can help.
Register your reps, track their requirements, maintain compliance. With the support of COMPLY’s team of experts.
It’s important that you keep track of the required registrations for your IAR’s. Whether they’ve moved to a new state, or gained new customers across state lines, the need for a new registration can be triggered. When that need arises, rely on COMPLY to efficiently ensure they meet the qualification requirements and file the necessary forms.
“I love that the company has created a culture that solicits feedback to continually evolve the product to fit the customers’ needs. The support team is incredibly knowledgeable, and it shows!” – David Becker, CFIP
“COMPLY’s customer support has major advantages over our previous vendor. For a start, they are quicker to respond, they seem to understand the product better and they understand the industry better.” – Chase Eldredge, Angel Oak Capital Advisors
Integrated direct broker feeds from more than 300 brokerage firms and a robust data normalization process provide unrivaled information accuracy and dependability.
Offering a suite of robust solutions to meet your unique compliance needs, COMPLY provides the depth and breadth of compliance solutions to help you navigate complexity with ease.
Navigate the complex FINRA registration process with a trusted resource at your side every step of the way.
Navigate the complex FINRA registration process with a trusted resource at your side every step of the way.
Whether SEC or State, we have the expertise to guide you through the entire registration process – and get your firm set up for success.
Register your reps, track their requirements, maintain compliance. With the support of COMPLY’s team of experts.
From Form PF to Form 13F, your regulatory files are paramount to maintaining your regulatory standing. Enhance efficiency. Ensure effectiveness. With filings backed by COMPLY experts.
Download COMPLY’s Ultimate New Registration Toolkit for the guides and resources you need to start your registration journey.
