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| Our Profile |
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Financial Registrations, Inc. is a regulatory compliance consulting firm providing registration and compliance
management services to the financial services industry. Our core clients are comprised of national and international
NASD/NYSE member securities broker-dealers and SEC/State investment adviser firms. Our clients our located in
approximately thirty-eight states across the U.S. including Hawaii and internationally in China, England, India
and Taiwan.
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| Our Clients |
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Our broker-dealer clients range from "introducing" middle-market broker-dealers to market-making firms
including broker-dealers operating under networking arrangements with banking institutions. Our investment adviser
clients range from small scale state investment advisers to large scale federally covered investment advisers which
include affiliations with hedge funds, fund of funds and other alternative investments with our largest adviser
totaling over $9 billion in assets under management.
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| Our Services |
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Our registration services range from registering securities broker-dealers to state and federally covered investment
adviser firms. Ongoing and post registration services include remote and onsite compliance management support
services as well as specific compliance research, training and litigation support services. *The following is a
breakdown of our core services as of June 2005.
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