To make an appointment for an exam, you may call either Thompson-Prometric at (800) 578-6273 or Pearson VUE at (866) 396-6273 after your
U-10 test form has been submitted. For more information, including testing center locations, click on one of the following links:
Investment Reference, Inc.
This is one of the strongest firms available to help you set up your CTA, IB, or FCM. In addition to classes in southern California for the Series 3 exam, this firm offers NFA-style audits that will help protect your firm against weakness in internal control.
Donahue & Associates, LLC
This CPA firm offers valuable “back-office” support to commodity and securities brokerage companies and to publicly-traded small and mid-sized companies. Some of the many services offered are performance table compilations for CTA’s and IA’s, Form 1FR software for introducing brokers, and anti-money laundering audits.
Firms that set up Futures I/Bs and Offer Clearing Services:
TDA Compliance – (925) 778-2390 – orEmail TDA Compliance
TDA Compliance is a consulting firm that helps set up federal and state level Investment Advisers and can provide back-office training and support. They are very knowledgeable in investment advisor registration, regulatory requirements, and advisory agreements.
Broker Dealer Market
Broker Dealer Market is a nationally recognized leader in mergers and acquisitions for small and medium sized Broker/Dealers.
JW Cole Financial – Mike Van Horenbeck (813) 549-6256
For those who are interested in careers as a registered rep in the Tampa, FL area
Investment Management Consultants Association (IMCA)
The CIMA certification program is the only credential designed specifically for financial professionals who want to attain a level of competency as an advanced investment consultant.