Broker-dealer Registration

(212) 751-4422

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We help new Broker-Dealers register with confidence.

Our team members have been successfully securing FINRA new membership approvals for over 20 years.

DFP Partners can manage your New Member Application process from beginning to end. We will register your firm and build your compliance program; managing every step to bring you to a successful outcome.

Comprehensive Solutions

Our team will create your customized compliance program, starting with a thorough business plan and first-year budget. We use models that we have refined over the years that have resulted in successful membership approvals. We will build your written supervisory procedures, AML program, templates, and processes.

Deep Expertise

Our consultants have decades of experience guiding firms of various sizes and business models through the FINRA application process.

Engaged Support

We collaborate with your firm to ensure the completeness and accuracy of the application we are submitting, which includes managing all responses to FINRA requests. Throughout this process, we educate your team to develop a firm understanding of your regulatory obligations and the procedures needed to fulfill them.

After your approval, we also offer continuous support of your compliance program, including procedures updates, advertising review, regulatory exam support, and conducting your supervisory controls testing. To learn about the full scope of our services, including New Member Applications, complete our contact form below.