Broker-Dealer Registration
Starting a new Broker/Dealer can seem like an overwhelming task. Our experienced consultants can perform the majority of the workload for you.
Membership Changes
If you have a Change in Ownership or a Material Change in Business Operations, you must file for approval with FINRA, pursuant to rule 1017.
FinOp
Services
Outsourcing your FINOP Services allows you to focus on your core business, and ensures accuracy and compliance in your financial department.
Audit
Services
The USA PATRIOT Act of 2001 requires that all securities firms establish an AML Compliance Program to prevent and detect the act of money laundering.
Compliance
Services
Finding the time to read and analyze all the information your firm receives from regulatory agencies can be challenging. We can help!
Technology Services
Brokerage Consulting Group offers complete Website development, email marketing and online marketing services. And more!
The Brokerage Consulting Group provides consulting and services to the broker/dealer industry. Brokerage Consulting Group provides broker/dealer start-up services, FINRA registration, FINOP services, web site development, and a variety of other services.
Brokerage Consulting Group is a team of professional consultants offering financial services such as FOCUS reporting, branch office auditing and starting a new broker dealer. We customize our plan and approach to each client to meet their unique and specific needs. Regardless of your needs, be they small or large, Brokerage Consulting Group can help.
Our goal at Brokerage Consulting Group is more than just excellent service, it's relationship building. We take a personal interest in your business and measure our performance by your success. Our "hands-on" approach allows us to build lasting and meaningful relationships with every client. Our goal is to get to know you and your specific needs.
