Start a Broker/Dealer
All you need to know about starting a FINRA registered Broker/Dealer

Broker Dealer Consulting

HedgeCo Legal and Compliance Group specializes in the full spectrum of regulatory guidance for broker/dealer firms offering securities products.  HedgeCo and its Consulting Team is dedicated to providing clients with exceptional integrity and knowledge coming from years of working in all aspects  financial markets including industry regulations, brokerage operations, legal, management, accounting, and human resources.

Our services are customized to your specific needs.  From a one person retail broker/dealer to full-scale multi-registered representative broker/dealers, the HedgeCo Consulting Team can meet your needs to become a successful broker/dealer in today's challenging business and regulatory environment. 

Recent developments within the investment industry will almost certainly bring forth new regulations on the accounting and compliance practices of member firms of the SEC and FINRA.

  • Are you confident in your compliance policies and adherence to SEC and FINRA regulations?
  • Are your broker/dealer's firm's AML/BSA procedures compliant with all SEC and FINRA regulations?
  • Do your firm's accounting practices meet the most current SEC and FINRA rules and regulations?
  • How confident are you that your broker/dealer's personnel records follow the statutes and regulations imposed by the SEC and FINRA?

HedgeCo's intimate knowledge of the regulatory environment and financial markets ensures our clients are completely compliant with all rules and regulations in today's challenging environment.

Request a FREE Start a Broker Dealer Consultation

Full Name *

Phone Number *

Company Name *

Email Address *

Email Address again *

Do you currently have your Series 7 license? *

Do you currently have your Series 24 license? *

Best Time to Call *

Description of Project