ICENSING & REGISTRATION PORTAL
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:
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.