Leading outsourcing for broker-dealers

Broker-Dealer Membership Services

The initial broker-dealer FINRA / state application filings.

CRD filings, Compliance and Supervisory procedures.

Change in membership applications with FINRA.

Leading outsourcing consultant firm for broker-dealers

For over 4 decades, Mark Paverman & his associates have been solving complex challenges that broker-dealers face.

What we can do for you

Initial Consultation


New Membership Application


Continuing Membership Application

Materiality Consultation

Prepare & Submit

Form BD

Outsourced principals

If required

Capital Funding

Accounting Systems

Business plan

Prepare & Submit

Form U4


Supervisory Procedures

State Registration

Assessment and Application

Fidelity Bond Application

Anti-Money Laundering

Compliance Program

Customer Identification Program

Clearing firm

Selection & Document review

Internal Processes

Procedures & Documents

Business Continuity Plan

Lost and Stolen

Securities Program Registration

FINRA Membership

Interview Preparation

FINRA Registration Support

Broker-dealers are required to register with the FINRA and establish an adequate compliance program. We'll assist with the initial broker-dealer application filing, CRD training, and preparation of compliance and supervisory procedures. In addition, our team can assist existing broker-dealers with a Change in Membership (CMA) application with FINRA

Starting A Broker Dealer? We Can Help!

We can help you get started under any type of license, whether you need approval for Equities, M&A, Private Placements, Mutual Funds, VLA or Money Management – We can get you there.

Looking for more details?

Call, email or leave a message telling us about what you're looking for.
We'll reach back to schedule a consultation to see how we can help you.


Hear it from our clients

We've been partnering with JSM Advisors for over two decades, and their expertise in regulatory compliance has been invaluable to our brokerage firm. Their team consistently ensures that we meet all necessary regulations and standards, allowing us to focus on our core business. JSM Advisors is not just a service provider; they are an integral part of our success.

Brokerage Firm

As a Registered Investment Advisor, compliance is paramount in our industry. JSM Advisors has been our trusted compliance partner for the last 15 years, and their services have been exceptional. Their knowledgeable team and personalized approach have made navigating the complex regulatory landscape a breeze. We highly recommend JSM Advisors to any RIA looking for top-tier compliance solutions.

Wealth Management Firm

JSM Advisors has been instrumental in our broker-dealer's success. Their regulatory compliance services are comprehensive and tailored to our specific needs. From membership registration to ongoing oversight of our books and records, they've consistently exceeded our expectations. Their experienced team has saved us both time and money while ensuring we remain fully compliant.

Horizon Capital Brokers

As a smaller broker-dealer, we were concerned about the cost and complexity of maintaining compliance. JSM Advisors came to our rescue. Their cost-effective solutions and outsourced Chief Compliance Officer (CCO) services have allowed us to meet all regulatory requirements without the burden of hiring and training in-house staff. JSM Advisors is a true partner in our growth.

Summit Securities

I can't express enough how valuable JSM Advisors has been to our firm. For four decades, they've consistently demonstrated their expertise and commitment to our compliance needs. Their proactive approach to regulatory changes and their quick response to our inquiries have made them an indispensable part of our Registered Investment Advisor practice. We're proud to have JSM Advisors on our team.

Financial Planning Service Provider