Broker-Dealer Formation

We guide you through the entire broker-dealer formation process, including registration with the United States Securities and Exchange Commission and FINRA and/or NYSE membership. In addition, we will assist in providing you with the necessary licensing registrations such as the General Securities Principal (GSP or Series 24) and Financial and Operations (FINOP or Series 27), including Registered Options Principal (ROP or Series 4) in the event you wish to engage in options transactions. We will hold your hands throughout the process and provide you with on-going consulting services as needed. If you have FINRA Disciplinary challenges, such as suspension and statutory disqualification, we will guide you through the process of re-admission and provide you with the necessary policies and procedures to stay in business to meet the standards of your readmission.

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One Gateway Center, Suite 2600, Newark, NJ 07102, USA