Achieve Your Goals

achieve your goals

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Is your time valuable to you?

Are you concerned about compliance and regulatory changes?

Are you interested in buying or selling a bd or ria?

If you answered YES to any of these questions, Forest Brokerage Advisers can help you. Owning Broker/Dealer or Registered Investment Advisory requires familiarity with a myriad of rules and regulations. But, it does not have to be overwhelming. We offer a cost-effective and time-efficient service designed to assist you through the registration of your firm, FINRA pre-membership interviews, buying or selling a Broker/Dealer, and all other regulatory issues.

  • Complete Broker / Dealer Registration

  • Books & Record Keeping

  • Buying or Selling BD’s or RIA’s

  • General Consulting Services

 
 
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Testimonials

"Forest Brokerage Advisers, Inc. and Warren Forest successfully resolved a compliance matter for us, that no one else could. Since then, they have been our sole compliance resource. Over the years, Warren has guided us through several ownership changes and business upgrades. Forest Brokerage Advisers, Inc., has also helped us with numerous compliance issues. We consider Forest Brokerage Advisers, Inc. to be a major key to our continued success."

— Barry Smith, President TransAm Securities, Inc.

"Our firm has been working with Forest Brokerage Advisers, Inc. since our initial Broker/Dealer filing many years ago. It has been a great advantage having Mr. Forest on our side guiding us through every step as we have matured as a company. Today, we do not make any major decision without first consulting Mr. Forest. His sound and selfless advice together with his decades of experience is rare. His insights are invaluable in this difficult regulatory landscape."

— Juan Santos, Founder and CEO Santos Capital Group, LLC

"I have had the pleasure to work with Forest Brokerage Advisers, Inc. and Warren Forest for over 13 years.  He has helped me to establish Broker-Dealers on two separate occasions during our working relationship.  In addition to establishing the B/Ds, he continues to provide compliance support on a monthly basis.  He is the consummate professional.  His experience and diligence is greatly appreciated.  He offers proactive solutions to problems before they escalate and has been an invaluable resource.   He is an excellent value.  I would not even consider using someone else."

— John W. Boyd, Founder & CEO Poinsett Securities, LLC