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 the FINRA.
Represent the client in all interactions with the 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