Distribution Services

• Review, negotiate and execute selling and servicing agreements on behalf of the client with external distribution channels (national, regional, discount broker/dealers, banks, insurance companies, 401(k) plans, etc.).
• Provide principal review and filing of all sales literature and advertising materials with FINRA.
• Represent the client in all interactions with FINRA.
• Sponsor clients securities licenses.
• Maintain supervision of registered representatives.
  • Provide consulting and guidance for licensing registration.
  • Filing of U-4 with FINRA  
  • FINRA fingerprint hard card and instructions, filing with FINRA  
  • Firm Element Continuing Education via Internet courses
  • Notification of Regulatory Element of Continuing Education
  • Policies and procedures compliance manual
  • Annual compliance training
  • Periodic regulatory updates
  • Opening of "Test Window" with FINRA  
  • Assistance with ordering licensing study materials and/or class reservation
  • Coordinate FINRA and state licensing
  • Initial Compliance Meeting