Compliance and Registration

You will be registered through our broker-dealer, Mid Atlantic Capital Corporation, which is registered in every state in the United States plus the U.S. Territories of Puerto Rico and the U.S. Virgin Islands. Under this arrangement, Mid Atlantic Capital Corporation’s compliance principals are required to, and do, visit each registered representative at least once a year.

To simplify the move to Mid Atlantic, we support you in transferring all appropriate licenses and registrations. 1

If you want to gain additional licenses, we provide a kit containing registration documents and all necessary information to register and sit for the qualifying examinations.1 Also included is an order form for your future representatives who need study materials.
Mid Atlantic Financial Network provides a series of informal educational forums to familiarize new and existing consultants with the array of products that we make available. We work with you to assure that the curriculum addresses all of the issues and products that are relevant to your firm.

1 Fee may apply