FINRA Membership & RIA Registration
Take the guess work out of the approval process
RND has deep experience in registering broker-dealers and RIAs – the right way. We start your firm off on the right foot by working closely with the regulators to obtain the approvals needed to conduct all of your business. Once you’re up and running, we give you the regulatory road map to keep everything running smoothly.
RND has over 40 years of experience in registering Broker-Dealers and Registered Investment Advisers and keeping these firms current on their reporting obligations.
RND works with you every step of the way to get your firm registered, approved, and running.
RND handles the entire process of registering your firm so you can focus on the next chapter in your success story.
RND handles:
- Form BD
- New Member Application
- Continuing Member Application
- Form ADV
- Form ADV Updates and Amendments
RND also partners with you for the future to ensure these filings remain current with the regulators.
Why work with RND?
Our experts have over 40 years’ experience in FINRA and SEC regulatory and compliance and stay ahead of changes so you don’t have to.
Our Services
Why Work with RND?
Experience
Our experts have over 40 years experience in FINRA and SEC regulatory and compliance and stay ahead of changes so you don’t have to.
Speed
High-speed, efficient turnaround on your requirements.
Flexibility
Ability to work onsite as an extension of your team or fulfill specific compliance and regulatory needs.
Affordable Solutions
Cost-effective and efficient solutions for your business model.
Proven Strategies
Strategic Partnerships
We partner with the best of the best to ensure the highest level of services.