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Starting A Broker-Dealer

FINRA New Membership Application

Becoming a member of FINRA, your firm is required to submit a FINRA New Membership Application (NMA).

Goldcrest Consulting Services, LLC, a licensed FinOp can identify professionals providing the following:

  • Apply for and obtain approval of your firm’s name,
  • Complete and submit hardcopy forms to FINRA including the Form BD,
  • Super Account Administrator Entitlement Form,
  • E-mail Notification Contact Form,
  • New Assessment Report,
  • Access Firm Gateway to review the Membership Application,
  • Complete and submit Forms U-4 and BR,
  • Complete and submit Form NMA,
  • Monitor the application process and respond to FINRA inquiries,
  • Act as a liaison between you and the FINRA examiner

FINRA Continuing Membership Application

Whenever your firm changes its ownership, control or business operations, FINRA requires the firm to file a Change in Membership Application (CMA). We can identify professionals providing the following:

  • FINRA Continuing Membership Application
  • Ensure the application meets NASD Rule 1014 standards
  • Liaise with FINRA’s Membership Application Program Department

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