There are thousands of independent broker dealers across the United States. Keeping your independent brokerage house successful starts with having the support that lets you keep your independence.
Sponsorship for the broker dealer exam should come without any strings attached that forces you to give up your independence. The right FINRA exam sponsorship can help you get your certification without losing your independence.
What Does The Right Support Look Like?
Broker dealers that want to keep their independence have found that choosing the right firm to support their FINRA investment banking license is the best way to get their certification. With a few easy steps, you can get the support you need without compromising your independence.
The right firm will offer series 79 sponsorship, series 82 sponsorship, and other FINRA exam sponsorship. Taking the FINRA exams that you need to certify cannot be any easier when you have the right support.
With the right support you can:
- Streamline regulatory compliance
- Keep costs down.
- Give your firm a competitive edge.
New regulations are making it more important than ever to ensure that you are in compliance. With the right company in your corner, you will be able to easily streamline certifications without the hassle. Of course, you will also be able to centralize costs and reduce the time that you have to spend managing compliance.
This is the win-win situation you have been looking for. You can maintain your independence without having to deal with compliance struggles. You can simplify the process by connecting with the firm that specializes in keeping broker dealers up to date with compliance while helping them maintain their independence.
The fact is this is not the time to toy with compliance. Rules are stricter than ever. Staying competitive in today’s environment and avoiding stiff penalties means taking compliance seriously.
Building Your Firm and Keeping It Yours
No one builds a successful brokerage firm on their own. Everyone needs a little help along the way. An experienced firm that is dedicated to servicing the compliance and registration needs of broker-dealers can be just the help you need to find success.
Knowing when to get the support you need and taking advantage of that support is one of the best things you can do for your independent brokerage firm. Take advantage of FINRA exam sponsorship and more to stay compliant and to expand your business capabilities.