Registration and Membership Consulting Solutions

In this period of upheaval in the financial markets, changes relating to consolidation, resources and lines of business are happening more frequently. The procedural burden of initiating and maintaining proper registrations and membership applications to keep pace with these changes can be overwhelming and requires dedicated resources that are now in short supply.

Our consultants have the extensive experience it takes to set up and register your firm to reflect your current business practices. Among their specific consulting offerings are:

  • FINRA Initial Membership applications
  • Changes to membership applications
  • State applications
  • CRD administration
  • Registrations: Advise on required registrations; U-4 and U-5 filings and review; applying for and following up on reinstatements and waivers; annual registration review.
  • Form BD/Form ADV administration

For more information, call 866.221.0404 or email SCSInfo@wolterskluwer.com.