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CMA – 5k Broker Dealer NYC

Had this great 5k Broker Dealer in New York City approved on a 1017 application for 70 Registered Representatives and 5 offices as follows:

> Ability to hire 70 Registered Representatives;
> 5 offices;
> Stocks;
> Corporate bonds;
> Government bonds;
> Variable life insurance and annuities;
> Mutual funds;
> Municipal securities;
> Options.

This was a very meticulous filing with a large number of questions from the district which required us to create many new forms and policies and procedures specific to the Firm’s business model and proposed Registered Representatives.

Congratulations!

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New Broker Dealer Approved – Long Island, NY

Just received approval for this Broker Dealer in Long Island, NY for 3 lines of business and 35 Registered Representatives!

As follows:
> Ability to hire 35 Registered Representatives;
> Equities;
> Mutual Funds;
> Options.

Congratulations!

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CMA – 5k Broker Dealer Approved for 15 Reps and 9 lines of Business – Long Island, NY

Had this broker dealer approved for 15 reps and nine lines of business in Long Island, NY as follows:

  • Hire 15 Associated persons;
  • Broker retailing corporate securities;
  • Broker retailing corporate debt securities;
  • Non exchange member arranging for transactions in listed securities by an exchange member;
  • Mutual Fund Retailer;
  • Municipal securities broker;
  • Broker or dealer selling variable life insurance or annuities;
  • Put and call broker;
  • Private placements;
  • Mergers and acquisition advisory services.

Congratulations!

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CMA – 5k Broker Dealer Approved For 30 Brokers & Six Lines of Business – NYC

Just had an approval of a 5k Broker Dealer in New York City with approval for 30 brokers!

This Broker Dealer received approval for the following:

  • Employ 30 Associated Persons;
  • Broker retailing corporate equity securities over-the-counter;
  • Broker selling corporate debt securities;
  • U.S. Government securities broker;
  • Mutual Fund retailer;
  • Broker selling variable life insurance or annuities;
  • Non exchange member arranging for transactions in listed securities by an exchange member.

Congratulations!

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CMA – 5k Broker Dealer Approved – California

Just had this very unique 5k Private Placement BD approved as follows:

  • Private Placements
  • Operate an online platform that supports the purchase and/or sale of private company shares, as well as portals (links) used to gather customer information, Specifically, the Firm will manage a passive bulletin board; act as a placement agent or selling agent for affiliated funds; engage in secondary market trading with accredited investors for non-public company(s) by matching buyer and seller.

Congratulations!

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New 5k Broker Dealer Approval – Pennsylvania

Just had this 5k Broker Dealer approved in Pennsylvania.

They were approved for the following:

  • Mutual Funds
  • Variable Life Insurance and annuities
  • 6 offices
  • 75 Associated Persons

Congratulations!

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New 100k Broker Dealer Approved NYC

Just had a New Approval of a fantastic 100k Broker Dealer in New York City.

This Broker Dealer received approval for the following:

  • Broker or Dealer retailing corporate equity securities over-the-counter;
  • Broker or Dealer selling corporate debt securities;
  • Underwriter or selling group participant;
  • Mutual Fund retailer;
  • Trading Securities for own account;
  • Private Placements of Securities; and
  • Mergers and Acquisitions advisory services.

Congratulations!

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CMA 5k Broker Dealer approved for 45 brokers and 8 lines of business – NYC

This was a very complex CMA filing for a 5k Broker Dealer in NYC that was approved as follows:

  • Hire 45 Associated persons and 2 offices;
  • Broker retailing corporate equity securites Over-the-Counter;
  • Broker or dealer selling corporate debt securities;
  • Mutual Fund Retailer;
  • U.S. Government securities broker;
  • Broker or dealer selling variable life insurance or annuities;
  • Investment advisory services;
  • Private placements;
  • Put and call broker or options writer.

Congratulations!