On a select basis Ashland will work with groups that are seeking to form their own broker-dealer and need a regulatory bridge until they obtain FINRA approval.
Up and above a full-time staff focused on your broker-dealer compliance and regulatory needs, affiliating with Ashland provides the following advantages.
- Access to our industry relationships such as FINOPs, consultants and law firms
- Firsthand experience from going through the FINRA New Membership Application process from A-Z
- Coverage under Ashland’s Errors and Omissions Insurance Policy
- Business processes specifically designed to preserve your unique brand during the stop-gap period to make an easier client transition upon approval
- Segregated commission accounts available at cost