Why...

...settle for
canned compliance
when you can have a
Compliance Partner
on your Team?®

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Broker/Dealer Startup and Registration

Supervision and Audit

General Services

Training and Education

Registered Principal Services

FINRA Online and Financial Filing Services

Broker/Dealer Startup And Registration Services

FINRA Broker/Dealer New Member Process

  • Guidance through the FINRA New Member Application Process
  • Preparation for the FINRA Pre-Membership Interview

Broker/Dealer Registration and Expansion Services

  • BD State Registration Services
  • Individual Agent Registration Services
  • Guidance through the FINRA Membership Continuance Application Process
 

BD Compliance Partners, Inc. is your trusted broker / dealer compliance consultant.

Telephone: (360) 833-1484   Fax: (360) 833-1485

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