National Compliance Services (NCS) can assist you with all your Broker-Dealer registration needs. If you consider the value of your time, as well as the added value that our professionals will bring to your firm, we are sure you will agree that the cost of having NCS process your registration is money well spent.

NCS will walk you through the entire registration process of forming either a "Fully Disclosed, Introducing Broker Dealer" or a "Limited Broker-Dealer". We have all the necessary forms and the expertise required to explain the many complex issues that pertain to broker-dealer registration. We are familiar with FINRA, SEC and State filing requirements. In addition, we have personal contacts at many regulatory offices across the country. This personal touch can often speed up the process considerably.

NCS will:

• Draft all Relevant Registration Forms
• Complete and File Forms U4 for up to Three Principals, Officers, or Representatives
• Coordinate your Application with Finra District and National Offices
• Review all Client Supplied Material Prior to Submission
• Perform all Application Filings with FINRA and Various States
• Assist in Obtaining Fidelity/Surety Bonds
• File an Application for FIN#
• File an Application with Lost & Stolen Securities Program
• Prepare a Model Compliance Manual
• Provide Informational Services
• Prepare an Un-audited Financial Statement
• Prepare your Net Capital Computation
• File Financials with Applicable Jurisdictions
• Provide you with a Business Plan
• Provide you with a Continuing Education Analysis and Plan
• Provide all required exam study material on CD-ROM (i.e. Series 63, 65, 7, 24, etc.)
• The registration process usually takes 150-180 days

NCS charges approximately $9,500 for most Limited Broker-Dealer registrations*. Additional states are billed at $250 each. FINRA fees start at $3,000. State registration fees are additional; most states charge $250 for firm registration and $50 per agent. Principals are required to pass a licensing exam. "Exam fees are additional."

If you would like a copy of our Limited Broker-Dealer Start-Up Summary, please call 561-330-7645 X 210 or e-mail us at chad@ncsonline.com.

*not including filing fees and providing there is no prior disciplinary history.

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