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Blurred Business People


Softek Compliance’s team of experts can provide a variety of firm as well as employee registration services. Whatever your need, our team will help guide the Firm through registration requirements and processes.


Implementation, Evaluations, and Enhancements

  • FINRA New Member and Continuing Member Broker Dealer Applications

  • Materiality Consultation Services

  • RIA, ERA, and State Investment Adviser Registration

  • MSRB registration

  • NFA registration

  • Employee registrations including:

    • o U4 filings and updates

    • o U5 filings

    • o Fingerprint coordination

  • Registration Advice regarding firm and employee licensing, BD and U4 disclosures

  • Conflict Management

Image by Ryan Tang
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