Starting a new broker/dealer is both challenging and rewarding. However, navigating the New Member application process is time-consuming and requires submitting accurate documentation to meet strict deadlines. Red Oak can help you avoid time-consuming and costly mistakes so your broker/dealer can start generating revenue sooner.
If you are an existing broker/dealer but need to amend your current business activities or product mix, expand branch offices, or hire additional registered representatives, you must file a Membership Agreement Change form. Red Oak can process the entire application on your behalf, or provide guidance on an “as needed” basis.
Red Oak has a proven track record of successfully completing the broker/dealer registration process. Let us use our in-depth knowledge to help simplify the process, avoid unnecessary delays, and limit your costs.