Broker Check

Frequently Asked Questions

  • Can my office be out of my home?
    Yes, you decide where you want to work.
  • Do you require E&O Insurance?
  • Do you accept representative that have filed for bankruptcy?
  • How long will it take to transfer my license?
    Your registration will be processed upon receipt of your U-4. The transition team and compliance department will keep you in the loop regarding the approvals for each state.
  • How long will it take to move my accounts?
    Assuming all necessary paperwork has been submitted correctly, ACAT transfers take approximately 3-5 business days.
  • Who will supervise my office?
    A principal of our firm will be assigned as your supervisor and a member of our compliance department will do periodic inspections.
  • Can I conduct direct mutual fund business with your firm?
    You can service existing direct business, but we ask that new business be conducted through the brokerage account.
  • Am I able to use social media (Facebook, LinkedIn, etc.) in my practice?
    Yes, we support social media.
  • Do you have production minimums to join your firms?
    Yes, we look for advisors with at least $100,000 gross in commissions or in advisory fees per year.
  • Do you have advertising and marketing support?
    Yes, we have a full-service marketing department as well as templates and tools available to our financial advisors.