Overview

For over two decades Aaron Capital has been providing registered representative a full suite of FINRA and state compliance services. Aaron’s compliance services team is staffed by season professionals whose experience spans mergers and acquisitions, capital raises, trading, EB5, insurance and compliance supervision. This Broker-Dealer dealer platform enables registered representatives to operate independently, under their own brand, focusing on deal origination and closing while the Aaron Regulatory Team focuses on regulatory compliance.

Aaron’s compliance services include:

• Maintaining appropriate registered representative registration with FINRA and state compliance offices

• Preparing all regulatory filings and assist registered representatives in responding to all regulatory inquiries

• Annual compliance meetings

• Office inspections

• Written supervisory procedures including anti-money laundering programs and monitoring

• Review and approval of all engagement agreements, sales literature, websites and other advertising

• Monitoring email and social media for possible insider trading, outside business activities and private securities transactions

• Licensing services for individuals entering the securities industry and insurance that experienced representatives hold all proper licenses

For those registered representatives looking for additional services the Aaron team also provides a complete suite of transactional support services.

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