Forem's consulting arm supports growing broker-dealers, RIAs, and hybrid firms with the compliance and licensing infrastructure they can't yet justify in-house.
A Series 24-registered principal embedded with your firm on a part-time retainer. Trade blotter review, RR supervision, escalations, and quarterly compliance reporting.
Custom-drafted or rewritten WSPs that map to your product mix, distribution channel, and state registrations. Turnkey delivery in 3–4 weeks.
A senior former FINRA examiner runs a full simulated cycle exam or branch inspection, then delivers a prioritized remediation plan.
1:1 preparation for Series 24, 26, 27, 51, or 53 with a senior instructor. Ideal for high-stakes candidates who can't fail.
Turnkey Form U4 filings, fingerprinting logistics, state registration mapping, and CRD maintenance for your growing rep force.
Annual Firm Element and Regulatory Element coverage for your entire rep force, delivered on the same coaching-led platform.
Every engagement starts with a 30-minute scoping call and a written proposal with a fixed fee and delivery timeline before any work begins.
Book a scoping call