Expedite growth strategy for a regional bank

Challenge:

A regional bank had an urgent need to apply for broker dealer registration that would enable them to better serve their customers and grow their business. This objective required external resources to navigate the FINRA registration review and approval process to establish the broker dealer within an aggressive timeline.

How we helped

Provided a GreenLine Consultants expert with deep FINRA registration expertise to augment the bank’s existing team

Provided FINRA registration subject matter expertise, technical skill and hands-on implementation support Significantly reduced time-to-market by discovering a preexisting limited purpose registration broker dealer within the bank’s infrastructure

Established a trusted advisor relationship with this new client which led to additional opportunities to use our expertise, transparency, and outside-in perspective to assist the client in meeting other strategic objectives.