The Broker-Dealer Applications Team (BDAT) was founded on a defining principle: no two broker-dealers are alike, and no two membership applications should be treated as such.
Our team guides firms through every phase of FINRA’s new and continuing membership process with precision, foresight, and the steady assurance that only experienced professionals can provide. Each engagement begins with one essential question: Where do you want your firm to be in two or three years?
From that point, the BDAT group, designs a tailored, operationally efficient and compliant roadmap - fully aligned with each client’s objectives and regulatory obligations; helping firms launch, grow, lead with integrity and set up for scalable and sustainable success.
By trusting Those Who’ve Previously Led the Team on the Regulatory-Approval Side. Our group members, who have each worked at FINRA, including senior leadership of the MAP Group, position our clients to benefit from a dual perspective - trusted advisors who understand both sides:
Having sat on both sides of the table, our team understands not only the risks associated with diverse business models and transactions but the factors which distinguish a well-constructed submission.
