Simple steps to becoming compliant

STEP 1

We talk over the telephone. You learn about us and our services and we learn a little about your business and the type of transactions you advise on.

STEP 2

We email you a packet of information which will include our standard contract and terms for your review. If you wish to proceed you will provide us information so that we may conduct a background check.

STEP 3

Ceiba representatives will come to your place of business to meet each potential registered representative, answer any questions and discuss on boarding.

STEP 4

You send Ceiba an executed version of our formal engagement terms and a deposit of first month’s fees.

You send Ceiba an executed version of our formal engagement terms and a deposit of first month’s fees.

STEP 5

Ceiba will upload U-4 forms thus registering each individual. Ceiba will assist in scheduling any necessary licensing exams.

Ceiba will upload U-4 forms thus registering each individual. Ceiba will assist in scheduling any necessary licensing exams.

STEP 6

Ceiba will coordinate with your IT department in order to install email archiving software.

Ceiba will coordinate with your IT department in order to install email archiving software.

STEP 7

We stay in touch and coordinate times to speak in order to discuss current activity and times when our compliance personnel can conduct on site reviews.

We stay in touch and coordinate times to speak in order to discuss current activity and times when our compliance personnel can conduct on site reviews.

STEP 1

STEP 1

STEP 2

STEP 2

STEP 3

STEP 3

STEP 4

STEP 4

STEP 5

STEP 5

STEP 6

STEP 6

STEP 7

STEP 7

WE FOCUS ON COMPLIANCE

WHILE YOU FOCUS

ON YOUR DEAL