Helping Brokerage Firms Through Cost Effective Compliance Solutions.
What We Do:
Registration Solutions offers a full spectrum of compliance and registration services to broker/dealer firms.
Agent Registrations and Terminations
Books and Records Reviews
Branch Office Setup and Reviews
Change of Membership Applications
General Compliance Support
New Member Applications
Pre/Post Regulatory Exam Support
WebCRD Support and Training
Registration Solutions offers broker-dealers a customizable compliance solution at an affordable price. Our services are ideal for any newly approved member as well as all small, established broker-dealers. We assist new FINRA members with the first regulatory exam; and work with established firms with general compliance or registration support.
An initial consultation is conducted to determine the services that will best fit your firm’s specific compliance needs. A total project cost is determined based on the type of services selected, and a proposal is provided with simple and affordable payment options.
At Registration Solutions, we believe in saving you time and money by delivering quality and affordable consulting solutions.