Written Supervisory Procedures.

Initial firm element continuing education modules.

Back office recordkeeping systems.

A preparatory seminar with the owner/principals concerning B/D
issues that is held just prior to the FINRA pre or continuing
membership interview.

We offer the opportunity to attend the pre-continuing or continuing
membership interview. (While this is an additional service, we highly
recommend it to facilitate a smooth approval process.)

Fees for our Broker/Dealer registration process can vary according to the complexity of the engagement. Please contact us online, or at (407) 696-9600 to receive a quote for this service.




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