Coast to Coast compliance

Get a Proposal

Once you have electronically submitted your answers to the investment adviser intake questions below, we will review your responses and reach out to schedule an introductory call with you to determine the best way to structure a proposal and assist your firm with its compliance needs. We look forward to the potential opportunity to work together!

Privacy and Confidentiality: Coast to Coast Compliance recognizes the sensitive and highly confidential information submitted through intake and contact forms and will protect this information with the utmost care and diligence.

Investment Adviser Intake Questions for Proposal

Is your firm already registered with the SEC or a state securities authority?
If not already registered, when does your firm expect to register with the SEC, or a state securities authority?
If you have already submitted your initial Form ADV filings, what is your expected or anticipated approval date for your investment advisory firm?
What is your anticipated amount of assets under management by your firm within 120 days after registration as an investment adviser?
What is your expected or anticipated approval date for your investment firm?
What state will be the main location of your firm’s offices?
Will your firm or any of its investment advisor representatives have an office or more than five clients (within 120 days of registration) in a state other than the firm's home state?
(If yes, please list.)
How many investment adviser representatives (including yourself) will be affiliated with your firm?
Describe the outside business activities of the firm and/or its investment adviser representatives.
Will your firm also be registered as a broker-dealer?
Will any of the investment adviser representatives of your firm also be affiliated with a broker-dealer as a registered representative?
Will your firm serve as a commodities pool operator or commodities trading advisor?
Will your firm advise or operate a private equity fund, hedge fund, or otherwise?
Will your firm advise a registered investment company?
Will you, your firm, or an affiliated firm serve as general partner of a limited partnership or managing member of a limited liability company offered to clients? (If yes, please explain.)
Will your firm pool client investments?
Will your firm charge a performance fee (other than an asset under management) based on the profits of the account?
Will your firm use third-party solicitors?
Will your firm or its investment adviser representatives serve as a solicitor for a third-party money manager?
Will your firm conduct financial planning? (If yes, please describe and specify the approximate range for financial planning fees.)
Will your firm sponsor a wrap fee program?
Has the firm developed Written Supervisory Procedures, a Business Continuity Plan, and/or an Anti-Money Laundering Program?
Has your firm conducted its required annual review of its compliance program and policies and procedures?
Has your firm been examined by the SEC, or any other regulatory authority such as a state regulatory agency, FINRA, or the NFA?
Has your firm ever conducted a mock SEC examination?
Has your firm conducted compliance training specific to the needs of your firm and personnel?
Does your firm or any of its anticipated owners, directors, officers, employees or investment adviser representatives have a disciplinary history such as a censure, suspension, disbarment or fine, with a regulator or a bankruptcy or a compromise with creditors? (If yes, please explain.)
Is the firm or any of its anticipated owners, directors, officers, employees or investment adviser representatives currently subject to an inquiry, investigation or enforcement proceeding by a regulatory authority or been found liable a regulatory authority proceeding? (If yes, please explain.)
Is the firm or any of its anticipated owners, directors, officers, employees or investment adviser representatives subject to a pending, arbitration, lawsuit or customer complaint or been found liable in an arbitration or lawsuit? (If yes, please explain.)
Any additional information relevant to the firm that you would like us to know?
Thank you! Your submission has been received!
Oops! Something went wrong while submitting the form.
(312) 219-2929
info@c2ccompliance.com

Once you have electronically submitted your answers to the broker-dealer intake questions below, we will review your responses and reach out to schedule an introductory call with you to determine the best way to structure a proposal and assist your firm with its compliance needs.  We look forward to the potential opportunity to work together!

Privacy and Confidentiality: Coast to Coast Compliance recognizes the sensitive and highly confidential information submitted through intake and contact forms and will protect this information with the utmost care and diligence.

Broker-Dealer Intake Form

What state will be the main location of your firm?
Will your firm have any additional offices and if so, in which state(s)?
How many individuals will initially be registered with the firm (including principals)?
In what state will the first Registered Principal be registered?
Please advise if the first Registered Principal: (i) has a current FINRA Principal license (i.e. Series 24, 26, etc.) that is not expired or lapsed; (ii) has a current FINRA Representative license (i.e. Series 7, 6, etc.), but not a Principal's license; or (iii) is not currently registered with any FINRA license.
In what state will the second Registered Principal be registered?
Please advise if the second Registered Principal: (i) has a current FINRA Principal license (i.e. Series 24, 26, etc.) that is not expired or lapsed; (ii) has a current FINRA Representative license (i.e. Series 7, 6, etc.), but not a Principal's license; (iii) is not currently registered with any FINRA license; or (iv) the firm will be a "Sole Proprietor Broker Dealer" and intends to request a waiver from the two-principal requirement.
In what state will the Financial Operations Principal be registered?
With regard to the Financial & Operations Principal, please advise if: (i) one of the Principals listed above has a Series 28 or 27 license; (ii) one of the Principals listed above plans to obtain the Series 28 or 27 license; or (iii) a person other than one of the Principals listed above will act as the FINOP.
When would the firm like to submit its initial FINRA requests (ie. to start its broker-dealer registration process with FINRA)?
Will your firm sell packaged securities (direct with product sponsor; no clearing firm)?  If yes, what type of packaged securities will your firm sell (ex. Mutual Funds; Variable Annuities; Variable Life Products)?
If your firm will sell packaged securities, how will they be sold (ex. Application-Way Basis; Wire-Order Basis; FundSERV, Wholesale/Distributor)?
Will your firm sell general securities (fully disclosed through clearing firm)?  If yes, what type of general securities will your firm sell (ex. Corporate Equities; Corporate Debt; Equity Options; Mutual Funds; Variable Annuities; Variable Life Products; Municipal Bonds or Municipal “529” Plans; Government Securities; Collateral Mortgage Obligations; Brokered CDs; REITs (Public/Listed or Public/Non-Listed); Limited Partnerships – Public)?
If your firm will sell general securities, how will they be sold (ex. Riskless Principal Transactions; Proprietary Trading - With Customers; Proprietary Trading – With Other BDs; Account (<10 trades / year); Selling Group Member - Best Effort Basis; Selling Group Member - Firm Commitment; Syndicate Manager or Co-Manager; Executed by BD & "turned-over" for clearing; All trades executed by clearing firm; Market Making Activities; Self-Clearing; Alternative Trading System; ECN Broker)?
Will your firm sell non-registered securities (private placements)?  If yes, what type of non-registered securities will your firm sell (ex. Equity Securities; Debt Securities/Promissory Notes; Convertible Debt (Warrants, Rights); Merger & Acquisition Advisory (Fee-Based); Private Investment in Public Equities (PIPEs); Hedge Funds; Hedge Funds – Fund of Funds; (Private and Non-Listed); Limited Partnerships – Private; Life Settlements)?
If your firm will sell non-registered securities, how will they be sold (ex. Selling Group - Best Efforts Basis; Selling Group – Firm Commitment Basis; Dealer Manager - Affiliated with Issuer; Dealer Manager – Not Affiliated with Issuer; Wholesale/Distributor; Secondary Market Transactions)?
Has the firm developed Written Supervisory Procedures, a Business Continuity Plan, and/or an Anti-Money Laundering Program?
Will your broker-dealer also register as an investment adviser?
Will any of the firm’s anticipated owners, principals, directors, officers, or employees be affiliated with an investment adviser (SEC registered, state registered, or otherwise)?
Will your firm serve as a commodities pooloperator or commodities trading advisor?
Will your firm advise or operate a private equity fund, hedge fund, or otherwise?
Will your firm advise a registered investment company?
Will you, your firm, or an affiliated firm serve as general partner of a limited partnership or managing member of a limited liability company offered to clients? (If yes, please explain.)
Will your firm pool client investments?
Describe any financial industry affiliations relevant to your firm.
Describe the outside business activities of the firm and its anticipated owners, principals, directors, officers, and employees.
Does your firm or any of its anticipated owners, principals, directors, officers, or employees have a disciplinary history such as a censure, suspension, disbarment or fine, with a regulator or a bankruptcy or a compromise with creditors?  (If yes, please explain.)
Is the firm or any of its anticipated owners, principals, directors, officers, or employees currently subject to an inquiry, investigation or enforcement proceeding by a regulatory authority or been found liable a regulatory authority proceeding?  (If yes, please explain.)
Is the firm or any of its anticipated owners, principals, directors, officers, or employees subject to a pending, arbitration, lawsuit or customer complaint or been found liable in an arbitration or lawsuit? (If yes, please explain.)
Any additional information relevant to the firm that you would like us to know?
Thank you! Your submission has been received!
Oops! Something went wrong while submitting the form.
(312) 219-2929
info@c2ccompliance.com