Kehrer Bielan has consulted for numerous firms that are struggling with the question of whether the investment services business could or should support a broker dealer. We have managed the process of selecting which BD functions to outsource, applying for FINRA registration, and obtaining regulatory approvals. For dozens of firms that are looking to outsource the entire BD function, we have helped on the selection of a third party broker dealer (TPM). Assignments have included drafting an RFP, reviewing proposals, and participating in reviewing presentations by the finalists.
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