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 also partners with you for the future to ensure these filings remain current with the regulators.
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.
High-speed, efficient turnaround on your requirements.
Ability to work onsite as an extension of your team or fulfill specific compliance and regulatory needs.
Cost-effective and efficient solutions for your business model.
We partner with the best of the best to ensure the highest level of services.