Broker-Dealer (BD) Applications

CMC can take you through the entire application process of becoming a broker-dealer with FINRA, SEC and State agencies. We have helped hundreds of small to Fortune 500 companies including banks, credit unions, and hedge funds register with FINRA and SEC. We have the knowledge to help you understand the application requirements and the experience of how to deal with the requirements. Let one of our experienced consultants guide you through the broker-dealer application process. Click here for more info...

Investment Adviser (IA) Applications

CMC can take you through the process of becoming a State or SEC investment adviser. Our qualified consultants will take you through the entire registration process from start to finish. Click here for more info...

Registered BD and IA Compliance & Annual Service Program

As broker-dealers and investment advisers firms have evolved and become more complex, so have their needs for functional and compliance support processes. CMC can help your firm evaluate a range of functional and compliance support services that we offer to meet your organization's specific needs and long term goals. Our Annual Service Program (ASP) along with our experienced compliance professionals can help your firm keep pace with all the new and changing regulatory requirements. Click here for more info...

Accounting/Bookkeeping, FINOP and Vendor Bill Pay Services

Need help with the preparation of Financials statements? CMC provides experienced bookeeping and FINOP/CFO services for all types of firm in the financial industry. CMC can be your entire bookkeeping and financial department or it can oversee the work of your existing in-house financial staff. Click here for more info...