Broker Dealer & Investment Advisory Consulting

Our network of consultants can provide start-up and existing Broker-Dealers and Investment Advisers with a broad range of professional regulatory compliance services.

Formation and Registration

We will coordinate registration services that take you from start to finish — we will be with you every step of the way. Our industry affiliations and relationships can prepare all necessary documentation and guide you through the entire registration process from business planning to document filing and follow-up-including preparation of your principals for pre-membership interviews.

Operations and Compliance Testing

First American can also coordinate comprehensive regulatory compliance consulting services, including, but not limited to:

  • Independent AML Testing
  • Written Supervisory Procedure Reviews
  • FOCUS Filings
  • CRD Filings (Form BD, Form ADV, Form U4, etc.)
  • “Plain English” – Form ADV Part 2
  • Rule 3012/3130 Annual Supervisory Control System Testing
  • Firm Element Continuing Education – Planning and Presentation
  • Annual Compliance Meetings
  • Advertising Reviews
  • Mock Regulatory Audits
  • Branch Office Reviews
  • Customized Compliance Solutions

To learn more or schedule a consultation contact us at consulting@factc.com.