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Mainstay Capital Markets
Broker Dealer Services

Mainstay Capital Markets Mainstay’s Broker / Dealer services provide our clients with the regulatory and compliance expertise necessary to meet the ever changing challenges of the current regulatory environment. We tailor our services to meet the needs of our clients so they can ensure compliance with the applicable rules and regulations. We don’t sell our clients a product; we deliver a solution.

FINRA Membership Process

The FINRA membership process can be a time-consuming and demanding process. Mainstay’s consulting staff includes former FINRA staff members who understand the nuances of the application process.

The critical elements to the timely and successful completion of FINRA membership include:
  • A complete and concise business plan;
  • Adequate capital to support ongoing operations;
  • Detailed discussion of the firm's supervisory system; and
  • Timely registration and qualification of all associated persons.
The registration process actually begins several months before an application is submitted to FINRA. A Mainstay consultant typically works with the applicant during this period to properly organize the business plan, complete the application and draft the documents that must be submitted with the application. FINRA’s "Tools" web page offers considerable guidance on how the required documents must be prepared.

At Mainstay, our consultants have many years of direct hands-on experience with the membership application process. As such, we are uniquely positioned to provide the assistance needed to successfully complete the FINRA membership process.

Contact a Mainstay consultant to request additional information.

Regulatory and Compliance Services
  • Advertising & Website Review
  • AML Audit/Independent Testing
  • AML Procedures
  • Annual Compliance Meetings
  • Books and Records
  • Branch Office Inspections
  • Clearing Agreements
  • Compliance Procedures/Manuals Reviewed and Customized
  • Compliance Reviews
  • Continuing Education/Training
  • Customer Complaint Review & Form Filing
  • Due Diligence/Product Reviews
  • Employee Development
  • Execution Agreements
  • Form B/D and B/R Amendments
  • Mock Regulatory Examinations
  • Operational Systems and Procedures
  • Outsourcing
  • Recruitment/Executive Search
  • Registration Renewals
  • Regulatory Examination Assistance
  • Regulatory Inquiry Assistance
  • Regulatory Mandated Consulting
  • Regulatory Mandated Independent Consulting
  • Risk Management
  • Sales Practice Reviews
  • State Regulatory Filings
  • Supervisory Controls Assessments
  • Supervisory Procedures/Manuals Reviews and Customization
  • Training
  • U4 and U5 Amendments
  • Work Flow and Systems Analysis
Registration Services
  • FINRA New Membership Application
  • Changes to Membership Applications (Rule 1017 application)
  • State Applications/Registrations
  • CRD Administration
Mainstay Capital Markets Consultants, Inc. can assist with the formation of new Brokers / Dealers. For more information,click here.

Financial Reporting Service
  • Net Capital and FOCUS Filing Assistance
  • FINOP Services
  • Financial Reporting Services
Additional Services
  • Expert Witness Services
  • Litigation Support
  • Due Diligence for Mergers and Acquisitions
  • Recruitment/Executive Search
Mainstay Capital Markets Consultants, Inc. is a consulting firm. We are not attorneys and therefore do not offer legal services. All information contained in this website has been derived from sources that we deem to be reliable but cannot be guaranteed.
© 2013 Mainstay Capital Markets Consultants, Inc.
6600 Peachtree Dunwoody Rd 600 Embassy Row, Suite 575 Atlanta, Georgia 30328 ph: 770-352-0120 866-352-0120 fax: 770-352-0038
Copyright © Mainstay Capital Markets Consultants, Inc. 2009-2018 All rights reserved.