Start Your Broker-Dealer Journey with Confidence.

Broker Dealer In A Box™

All-In-One Broker Dealer Turnkey Solution.

    • Ensure your broker-dealer firm stays compliant with the latest regulations using our Hadrius-powered compliance software.

    • Automate compliance workflows, manage audits, and mitigate risks, keeping your firm ahead of regulatory requirements and minimizing the chances of costly fines.

    • Features include:

      • Electronic Communications AI Review and Archiving

      • Marketing AI Reviews and Archiving

      • Monitoring Employee Outside Brokerage Accounts

      • Compliance Calendar

      • Certification Tracking

      • Outside Business Activity Tracking

      • Gift and Entertainment Expense Tracking

      • Political Contribution Tracking

      • Firm Records

      • Disclosure Version Control and Tracking

      • And more...

    • Build a custom website tailored for your broker-dealer business, complete with mobile-friendly features for seamless access across devices.

    • Attract clients, showcase your services, and provide a user-friendly experience that strengthens your online presence.

    • We manage the entire registration process with the SEC, FINRA, or state regulators, ensuring your broker-dealer firm is fully compliant and ready to operate.

    • From document filing to regulatory approval, we handle the details, so you can focus on growing your business.

    • No legal fees. Flat fee pricing.

    • Benefit from a team of seasoned professionals with deep expertise in broker-dealer operations, compliance, and regulatory requirements.

    • Our expert resources provide the guidance and support needed to navigate the complexities of running a broker-dealer, helping you launch and scale efficiently.

    • Seamlessly integrate HubSpot’s marketing, sales, and service tools into your broker-dealer operations.

    • Automate marketing campaigns, streamline your sales process, and deliver exceptional client service, all while driving business growth through real-time insights and automation.

    • We provide continuous oversight to ensure you remain compliant with SEC, FINRA, and state regulations, offering automated solutions for monitoring, reporting, and risk management.

    • Our team of experts also delivers operational support to streamline your day-to-day processes, from transaction tracking to regulatory filings, ensuring your firm runs efficiently and stays ahead of compliance requirements.

    • Focus on growing your business while we handle the complexities of compliance and operations.

      • Our broker-dealer platform, powered by Wealthbox, offers a modern CRM designed to manage client relationships, trades, and transactions with ease. Stay organized, track key activities, and enhance productivity, all through an intuitive platform built for broker-dealers.

Streamline Success with Broker Dealer In A Box™.

    • Compliance Program Design: We design and implement a robust compliance program tailored to your business model, covering all aspects of regulatory compliance.

    • Chief Compliance Officer (CCO) Services: Access fractional CCO services to oversee your compliance framework and ensure ongoing FINRA and SEC regulations adherence.

    • Free 60-minute Consultation: Determine the correct regulatory path for your firm.

    • Personalized Strategy: We start with a detailed consultation to understand your business goals and develop a tailored strategy for your Broker-Dealer.

    • Regulatory Roadmap: Our experts clearly outline all regulatory requirements and milestones.

  • New Membership Application (NMA)

    • Application Preparation: We prepare and file your New Membership Application (NMA) with FINRA, ensuring all necessary documentation is accurate and complete.

    • Follow-Up and Liaison: Our team liaises with regulatory bodies, promptly addressing any queries or additional information requests.

    • Systems and Processes: We set up the essential operational systems and processes, including regulatory platforms, customer account management, and record-keeping systems.

    • Cybersecurity and IT: Implement top-tier cybersecurity measures and IT infrastructure to protect your business and client data.

    • Let us connect you with the cutting edge Broker-Dealer platforms that leverage AI to reduce your workload and enable you to grow our business quickly.

Launch Your Broker-Dealer in 90 Days, Hassle-Free.

    • GiGCXOs leverages its third party AI tech platform to review advertising and marketing materials in compliance with SEC and FINRA rules, ensuring firms meet all regulatory standards.

    • We can perform these reviews for you or you can license our AI Reg Tech platform.

    • Developing Written Supervisory Procedures (WSPs)

    • Developing an Anti-Money Laundering Compliance Program (AMLCP)

    • Documenting and training on a Customer Identification Program (CIP) 

    • Designing internal processes, procedures, and documents

    • Developing and implementing a Business Continuity Plan (BCP)

    • Documenting a Lost and Stolen Securities Program (if required)

    • Assigning principal registrations and executive positions

    • Establish comprehensive AML procedures

    • Our innovative AI technology is designed to monitor all your firm's digital communication channels—email, chat, social media, and more—ensuring you're always a step ahead of potential compliance risks.

    • By automatically reviewing and flagging content for regulatory infractions, our solution not only helps prevent costly fines but also streamlines your compliance processes.

    • With GiGCXOs, you gain peace of mind knowing your firm's communications are continually monitored with precision, allowing you to focus on growth and client satisfaction.

    • Draft the firm’s business structure, such as a corporation, limited liability company (LLC), or partnership.

    • Liaise with the firm’s legal counsel to establish the entity.

    • File entity registration with State government.

    • Sourcing and completing fidelity bond application

    • Selecting a clearing firm and documentation review (if applicable)

    • Providing outsourced principals (Series 24)

    • Liaising with FINRA as needed throughout the project to streamline the process

    • Drafting content for the FINRA membership interview

    • Assisting with Central Registration Depository (CRD) and New Membership Application (NMA) 

    • Preparing and submitting Uniform Application for Broker-Dealer Registration (Form BD)

    • Developing a business plan

    • Completing and submitting Form U4 (Uniform Application for Securities Industry Registration or Transfer)

    • Completing state registration assessment and application (where applicable)

Comprehensive Support, From Concept to Compliance.

Buy A Broker-Dealer?

  • Acquire an established Broker-Dealer and start operations right away, bypassing lengthy setup processes.

    Benefit from an existing client base, operational systems, and established procedures, saving time and effort.

    The entity already has the necessary FINRA or SEC approvals, reducing uncertainty and complexity in regulatory compliance.

    Leverage the goodwill and reputation of the existing firm to enhance trust and credibility with clients and partners.

  • The upfront cost of acquiring a Broker-Dealer, including the purchase price and due diligence expenses.

    Inherit potential legacy issues such as outdated technology, compliance concerns, or cultural mismatches.

    Integrating the acquired firm into your operations can be complex and require significant adjustments.

    Potential hidden liabilities or unforeseen challenges may arise, necessitating thorough due diligence.

    The scope of approved business lines may not align with the new firm’s business strategy, which will require a change in membership application that will take an additional 90 - 120 days.

Tell Us What You Want.

We’ll Locate A Broker Dealer For You.