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"Dear Andrew,

I just wanted to take a moment to let you know what a pleasure it been to do business with HedgeCo. To be honest, when we first retained you to assist us with the launch of our hedge fund, I wasn’t sure if you could truly deliver on the broad scope of services you promised. But you’ve actually exceeded my expectations. You and your team have been professional, courteous, extremely competent - and perhaps most important to me – met all my deadlines.

Many thanks,
Stephen"

Stephen E. Speiser
Managing Director
THE HALF MOON REO FUND, LP


Owning your own broker/dealer has its advantages. The profits alone can make it well worth your while. Having a broker/dealer can open the door to doing your own trading and investment banking.  A broker/dealer can also add that certain something to your company, heightening your reputation and name.

However, broker/dealer start-ups require an intense amount of effort and personnel.  The lengthy registration process and course of hurdles make the set-up and operation of a broker/dealer laborious and time-consuming.  Many times, firms submit the initial registration forms, only to be discouraged by the on-going requests for documentation and the constant back-and-forth communication with FINRA.

That is where HedgeFundTools comes in.  Our experts have helped to set up numerous broker/dealers, expediting the start-up process tremendously.  Working with you to gather the necessary forms and documents, HedgeFundTools can generally complete the process from start to finish in about 4-5 months.  The team at HedgeFundTools has the experience, expertise and vast industry contacts needed for setting up a successful broker/dealer. 

What's more, HedgeFundTools will employ personnel to run your broker/dealer for you.  FINRA has strict requirements when it comes to who may run a broker/dealer.  Their approval will be dependent on whether or not you have a competent, reputable representative to run the company.  Allowing HedgeFundTools to run your broker/dealer has many advantages to you, the owner.  Not only will we be instrumental in launching in the company, HedgeFundTools will take care of all the continuing compliance and business procedures as required by FINRA and the SEC.       

Starting your Broker-Dealer

At HedgeFundTools, we have helped dozens of individuals launch their own broker-dealers.  We do all the behind-the-scenes work so you are freed up to focus on your growing your business.

Whether you are starting a broker-dealer or in the middle of a stalled application, HedgeFundTools can help.  Here is a look at what our start-up service entails:

  • Initial Consultation
  • Construction of your business plan
  • Preparation of the Form BD
  • Application for FINS#
  • Completion of Form U4
  • Construction of a Written Supervisory Procedures Manual to satisfy FINRA requirements
  • State registrations
  • Help determine which licenses, if any, your representatives will need
  • Application for Fidelity bond
  • Preparation for FINRA membership interview
  • Establishment of an Anti-Money Laundering Compliance Program
  • Establishment of a Customer Identification Program
  • Focus on a continuing business plan
  • Registration with Lost and Stolen Securities Program
  • Deal with all follow-ups with FINRA once forms are submitted

 


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