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.
We offer:
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Access to prominent national custodians and established firms with names your clients will recognize
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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
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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
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Open architecture that allows you to offer products most suitable for your clients
- Ongoing training and support
For additional information, please contact Vivian Velazquez at 786.441.5275, or via email at: info@vandvconsultinggroup.com. Our discussions will be held in strict confidence.
V&V Consulting is not a law or accounting firm and therefore, we do not render legal, or accounting advice.