Broker Dealer Licensing & Registration

Start Your New Business in Compliance

Starting a new business? Need help knowing how to make sure you’ve got all your bases covered? Cobia can help:

When starting a new business, the endless landscape of acronyms like CRD, IARD, and ADV can be overwhelming. Cobia Compliance can help you safely navigate the rules and regulations of the financial services industry and feel confident that your business is getting started on the right foot.

Cobia’s team of professional compliance associates stands ready to assist you with the most basic setup items such as setting up your CRD or IARD accounts to providing full-service compliance services, including conducting mock SEC & FINRA audits.

Licensing and Registration Services

Broker Dealer Licensing & Registration Administration: Our professional associates are ready to assist you with your FINRA Web CRD and IARD Administration from top to bottom. We will provide the following services to assist you in establishing your Broker Dealer or Investment Adviser:

Form BD – We will provide support to electronically file your Form BD on FINRA WebCRD and we will file updates as required. We will monitor regulatory changes and report to you when the Form BD needs to be reviewed and updated. We will open Registered Branch offices and make amendments as necessary.

Form ADV – Cobia will assist you in establishing both parts I and II of Form ADV as well as ensuring that all appropriate schedules are completed accurately.

FINRA Form U4/U5 – Upon request we will conduct FINRA background checks on prospective associates, provide tailored registration packets and file original Form U4 in a timely manner. We will file required amendments as necessary for address changes, state additions, exam requests, and disclosure reporting amendments.

FINRA 4530 Filings – We will process the firm’s 4530 filings. We would work with your firm to gather the necessary information and promptly file 10-day and/or quarterly filings.

Regulatory Continuing Education – We will monitor Regulatory Continuing Education requirements for registered associates; notify associates when their window is open and assist in scheduling appointments.

Annual FINRA Renewals – We will assist in processing year end FINRA renewals and required reporting.