SDDCO Brokerage Advisors, LLC (“SDDCO-BA”) MEMBER: FINRA/SIPC was created by The SDDCO Group as the solution to a growing need in the financial services industry for an independent broker-dealer with broad institutional regulatory compliance advisory experience. SDDCO-BA affords the regulatory structure necessary for professionals to conduct business while applying for FINRA membership.
SDDCO-BA will register your investment professionals and provide supervisory oversight of their securities activities. Your office will be designated an SDDCO-BA branch office, and SDDCO-BA will be the broker of record on securities transactions. At the same time, you can operate under your own brand in a compliant regulated business environment.
Access a secure regulatory structure to conduct your securities business while developing the capital and business plan necessary to form your own FINRA member firm. Additionally, our firm affiliate, SDDCO Regulatory Services, LLC, can handle your FINRA new membership application (“NMA”) process.
SDDCO-BA can:
Assist you to conduct business while forming your own financial services firm Provide a stable environment in which you can develop your business model Enable you to prosper in a FINRA and SEC compliant regulatory environment