1st BridgeHouse provides broker-dealer formation services that are a step above our competition. Since our principals have extensive experience in running broker-dealers, we are able to offer substantial business advice to our clients on how to structure a company, establish an operations department, choose the clearing broker that best fits your business model and culture, negotiate a contract with the chosen clearing firm, and solve many other issues that are not strictly regulatory in nature. Our goal is to lift as much burden as possible from the shoulders of our clients.

Of course, we also provide all of the standard regulatory services of forming a broker-dealer, including:

• Filing of all required forms with the requisite regulatory bodies (FINRA, SEC, MSRB, appropriate states, etc.)
• Assistance and advice in creating the business plan and pro-forma financials required for application with FINRA
• Personalized Written Supervisory Procedures
• AML Policies and Procedures
• Setting up the required financial reporting and controls
• Customized Continuing Education Manual