[contact-form-7 id="368" title="Request for Quote"]

Please indicate the services you are interested in having Compliance Advisers provide for you. We will use this information to prepare a customized quote for you although it is best if we speak to you as well.

New Broker/Dealer

Provide comprehensive services to establish your firm as a fully-registered broker/dealer and includes all forms preparations and filings, CRD filings, Manuals, Financial record-keeping system, and Pre-Membership Interview Prep and 6-month Exam Prep

Introducing FirmSelf Clearing FirmOther/Don't Know

New investment Adviser

Provide comprehensive services to establish your firm as a federal or state-Registered Investment adviser and includes all forms preparations and filings (ADV, contract/agreements, etc.), IARD/CRD filings, Manuals.
FederalState

Preparation of Monthly Financial Statements & Focus Report

Includes balance sheet, income statement, cash receipt and disbursement journals and general journal. Includes posting of cash receipts and disbursements, general journal entries, input of payroll information from your payroll provider, reconciliation of clearing firm statement to firm data, reconciliation of bank statements, net capital computation and Focus filings. Also includes follow up to any regulatory or outside auditor inquiries.

Focus Filings Only

Monthly FilerQuarterly Filer

General Consulting

Provides you with a predetermined number of consulting hours each month:
Number of Hours per Month

CRD/IARD Service Bureau

Includes Form BD/ADV filings & amendments, Form U4 and U5 Transitions filings and amendments, CE Notices, Annual Renewal Notices and general system inquiries

Customer Complaint Reporting (NASD Rule 3070)

Continuing Education Plan Preparation

Includes Needs Analysis and Plan Development
Plus Presentation

Annual Compliance Meeting

Preparation of Meeting Agenda And Materials, Recordkeeping Data
Plus Presentation

Anti-Money Laundering Compliance Program Development

Anti-Money Laundering Compliance Program Testing

State Registration Renewals

Initial Procedures Manual Review--(Check all that apply)

Written SupervisoryComplianceReg RepAnnual Review & Update (Available only after initial review)Annual Internal Controls Testing (NASD Rule 3013)

Investment Adviser Annual Document Review--(Check all that apply)

Form ADVAdvisory AgreementSolicitor AgreementAnnual Review and Update--Revised Document(s) Provided

Notification of Key Rule Changes

Principal for Hire (Check all that apply)

Financial & OperationsGeneral SecuritiesMunicipalsCCOOptions

Annual Inspections

Home OfficeBranch Office(s)Indicate Number of Branches

Business Continuity Plan Development

Advertising, Sales Literature & Correspondence Reivew

Estimated Number of Pieces per Month

Other Services Desired--Please indicate type and quantity

Firm Name

Firm CRD #

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Firm Contact Email (required)

Firm Street

Firm City

Firm State

Firm Zip

Firm Phone

Firm Fax

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