“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? Whether you’re on your way to becoming an RIA or Broker-Dealer, registration is often the very first step towards opening your firm and serving your clients. However, it is a step with countless details, numerous documents, and onerous requirements.
That’s where we can help. Speak with an Expert or Call +1 (866) 515-6064
Thousands of advisers have relied on the expertise of our team of industry professionals and former regulators during their registration and business planning process. And we can do the same for you!
Filings include:
Financial Industry Regulatory Authority (FINRA) membership does not come easily, especially considering the in-depth knowledge and exhaustive effort that is required to complete the appropriate filings.
COMPLY compliance professionals apply efficiency and knowledge to the process, guiding broker dealers through registration and helping you establish (New Member Application) or modify (Continuing Membership Application) your business. Rely on COMPLY for:
“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
“It is easy to see COMPLY has an appetite for growing their knowledge in their industry and improving upon their product, and I am happy and proud to be a partner.” – Michael Isaac, Stadion Money Management
Integrated direct broker feeds from more than 300 brokerage firms and a robust data normalization process provide unrivaled information accuracy and dependability.
Start your journey to becoming an RIA or Broker-Dealer, supported by the COMPLY Registration Team. We focus on all the small details, so you can focus on how to set your firm up for success.
Download COMPLY’s Ultimate New Registration Toolkit for the guides and resources you need to start your registration journey.
