For established Registered Representatives, Private Bankers, Financial Advisors or Relationship Managers, we offer assistance in exploring alternatives in the independent financial advisor, or independent broker-dealer space and launching an independent practice.
Access to prominent national custodians and established firms with names your clients will recognize.
SEC, State and/or FINRA registration. Introduction to an independent platform, assistance with custodian and service provider selection, design and implementation of compliance systems and processes.
Market, compliance and operational support from responsive, highly experienced compliance and operations support staff that will strive to provide you with business friendly solutions that meet all applicable regulatory requirements.
Open architecture that allows you to offer products most suitable for your clients.
- Ongoing training and support.
V&V Consulting is not a law or accounting firm and therefore, we do not render legal, or accounting advice.