Broker Dealer Consulting Services
- Merger & Acquisition Services - B/D Solutions has assisted buyers and sellers in the placement and purchase of broker/dealers and their constituent parts.
- Strategic Management Services - The Strategic Management program utilized by B/D Solutions creates the processes needed to establish a strong service-based and customer-driven organization.
- Mandatory Consultancies - B/D Solutions has an experienced staff of professionals available when the regulators mandate the use of independent consultants as a remedy.
- Supervision System Design - B/D Solutions can help re-design and implement supervision systems, craft meaningful Written Supervisory Procedures, structure, broker dealer compliance workflows for geographically diverse branches, utilize technology to facilitate compliance, specialize in independent contractor issues.
Broker Dealer Startup
- Broker Dealer Start-up Estimator - B/D Solutions Consulting offers free good faith estimates of the cost to establish a broker/dealer.
- Buy or Build? - B/D Solutions receives numerous calls every week from individuals wishing to start securities firms concerning the buy-or-build decision.
- Broker Dealer Registration - B/D Solutions offers this overview of the broker dealer registration process.
- Types of Broker Dealers - An overview of the types of broker dealers and requirements for each.
- Selecting a Clearing Firm - Choosing a Clearing Firm is a strategic decision. No other relationship will have a greater impact on your quality, service, and price levels.
- State Registrations - B/D Solutions has the experience to manage all state registration and licensing processes for your broker/dealer to obtain the required approvals as quickly as possible..
- FINRA District Map - Important contact information for each state.
- Supervisory Seminars - B/D Solutions offers on-site or classroom training focused specifically on the challenges of being a Branch Manager or Office of Supervisory Jurisdiction Manager.
- Trader Investigations - B/D Solutions Consulting can provide reports to Branch Office Managers, OSJ Managers, or Chief Compliance Officers who are concerned about possible account churning by registered representatives under their supervision.
- Written Supervisory Procedures - We believe in developing a set of procedures that is comprehensive, yet well-organized and easy to follow.
- Continuing Education - B/D Solutions focuses on helping brokerage firms and banks plan and implement meaningful Continuing Education Programs (CEP).
- Branch Office Audits - B/D Solutions has auditors located nationwide to perform multiple audits within a specific geographical region.
- Mock FINRA Exam - B/D Solutions will conduct the same regulatory examinations that FINRA may sometimes give your Home Office, OSJ, or Branch Office.
- Audit Program Review and Design - B/D Solutions will enhance your current audit program or produce a new audit program that will help ensure no potential compliance problems occur at your broker/dealer.
- OSJ & Auditor Training - Our consultants are available to train your firm's OSJ Managers on auditing procedures and techniques.
- Special Investigations - B/D Solutions has a staff of experienced professionals who are highly qualified to conduct special investigations on an array of securities topics and problems.
- Request for Audit Quote - A form to request B/D Solutions to provide you with a meaningful proposal for auditing your firm's branch offices.
- FINOP Consulting - B/D Solutions has a staff of experienced Financial and Operations Principals able to act as your firm's FINOP on an interim or permanent basis.
- General Ledger Structuring - Let B/D Solutions help your firm construct a chart of accounts that will not only help you analyze your financial statements, but also facilitate regulatory reporting.
- Accounting Systems - B/D Solutions can design and implement your brokerage accounting system.
- FOCUS Reporting - B/D Solutions is equipped to handle the preparation and filing of your firm's FOCUS Report on a monthly or quarterly basis, depending on regulatory requirements.
- Independent Audits - Every Broker/Dealer is required to engage an independent auditor to conduct a full annual audit of the brokerage firm.
- Expert Witness Services - B/D Solutions can help you develop effective cases for securities litigations and arbitrations.
- Litigation Support - B/D Solutions assists law firms in the review, research and critique of evidence for the case preparation of litigations, arbitrations and mediations in the securities industry.
- Due Diligence - The purpose of due diligence is to improve the odds that the merger or acquisition will be successful.