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Start your own NASD FINRA firm or become an independent of an existing firm?

For 95% of the people looking at starting their own office, becoming your own NASD firm is NOT the way to go. To become an NASD firm, you must file a membership to the NASD. This filing process includes a substantial amount of fees and requirements. Not the least is a minimum net capital requirement of $5,000 (for introducing brokers who do not hold customer money). If you plan on clearing and holding your customers money, the net capital climbs up to $250,000. You also have to provide everything yourself. Tickets, confirms, a compliance department etc. This route should only be for groups of producing brokers with large amounts of money under management who wish to establish their own brand name. There really is no other reason.

For everyone else, hooking up with an established independent brokerage firm to open up your home office is a better way to go. Payouts can range from 65% up to 95% of gross production.

American Investment Training (AIT) can set up your own firm through the NASD, so you can start up your office. Our in-house compliance attorneys have 20 years experience setting up securities firms. We can advise you on how best to proceed. We will advise you on your business plan and provide the fastest and most accurate registration procedure, so you can begin your securities business as soon as possible. Services include: SEC and NASD Registration Consulting CRD's License requirements Net Capital Requirements

Contact For NASD Broker Dealer Start up consideration please fill out the quick form for Independent BD Start Up American Investment Training