A typical onboarding process may take three to four weeks, dependingon licensing requirements and the nature of the activities involved.
We begin with a conversation regarding your business and the natureof your advisory activities.
We review intended securities activities, licensing and examrequirements, and regulatory considerations.
Structure your affiliation with AAC’s broker-dealer platform.
Submission of required filings including Form U4.
Integration into AAC’s compliance and communicationsinfrastructure.
Continued compliance oversight and regulatory support.
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