NEW START-UPS

Starting a new Broker/Dealer can seem like an overwhelming task. At Brokerage Consulting Group, our experienced consultants can perform the majority of the workload for you, helping to free up your time for business development and marketing. Our approach to new start-ups utilizes a turnkey process, working closely with you to complete all necessary steps both accurately and quickly. While many firms use a "cookie-cutter" approach for new start-ups, at Brokerage Consulting Group we custom develop every new registration package to best suit the needs of you, the client, along with FINRA requirements.

Whether you're just beginning or have already begun the process, BCG can help you complete the process. Aside from the complete start-up process, we can assist you individually with any of our start-up services.

Our start-up services include:

• Initial start-up interview to determine your specific needs
• Preparation of your business plan
• Development of Written Supervisory Procedures
• Creation of a continuing education program which includes the written training plan and needs analysis
• Preparation of the Form BD
• Completion of Form U4
• Application for fidelity bond
• Application for FINS#
• Registration with Lost and Stolen Securities Program
• Completion of miscellaneous FINRA forms
• Request waiver of two principal requirement, if applicable
• Initial brokerage accounting consulting, including net capital computation
• Creation of a business continuity plan
• Provide clearing firm referrals
• State registrations
• Serve as liaison with district office and provide all response follow-ups
• Preparation for, and attendance of, FINRA membership interview
• Development of an anti-money laundering program
• And much more