All non-registered persons working at a registered or non-registered advisor’s office that have access to client’s personal non-public information are required to be registered on the FINRA CRD program. In addition to being registered on the FINRA CRD program they must complete the following:

  • Fingerprinted.

  • Background and credit check.

  • Compliance disclosure questionnaire completed.  Please make sure their name and initials are on each page of this questionnaire. 

  • Copy of their valid Driver’s License.


The fee for non-registered personnel is $200.00 to process required fingerprinting, background and credit reports.  This fee will be deducted from your commissions unless told otherwise.  At the end of each year, a renewal fee of $100.00 will be applied to your renewal invoice for each NRF in your office for access to Quest CE, disclosure questions, and training along with firm materials in the library.