Registration Solutions

We deliver customized compliance support to fit your individual business needs at an affordable price!

At Registration Solutions, we offer a full spectrum of registration and compliance services to all types and size broker-dealer firms.

We are dedicated to providing personalized professional services on a proactive basis, before compliance matters become a regulatory issue.  And we deliver customized support that meet your specific needs and budget.

Finally, we have established relationships with current and former securities regulators and other industry professionals, as well as network among several experienced compliance professionals in all aspects of brokerage compliance matters.

Industry Partners:

• IA Compliance & Consulting - Suzette Surman - www.iacomplianceandconsulting.com
• LeGaye Law Firm - Daniel LeGaye - www.legayelaw.com
• Solid Rock Consulting - Robert Falkenberg - srcbob@sbcglobal.net
• Houston Mobile Fingerprinting - Barry McDermott - www.houstonmobilefingerprinting.com
• Holmes Detective Bureau (NY fingerprinting) - www.holmesdetective.com
• Various Part-Time FINOP Relationships