Registered Representative Services
We can quickly assist you with all of your firm's registered representative ("Rep") compliance needs. Please email or call either MARK S. REDMAN, Director, Foreside Distributors, LLC, at (614) 470-8156 or RICHARD J. BERTHY, President, Foreside Financial Group, LLC, at: (207) 553-7128, for a confidential discussion.
Our services include:
- Rep FINRA and state registration:
- Maintain appropriate FINRA registrations at the state and regulatory level,
- Provide a guidepost as to SRO jurisdiction fees,
- Maintain a complete database of all Rep information, both electronic and hardcopy, at the firm level.
- Rep compliance and administration, includes:
- Facilitate and process all Rep registrations and renewals utilizing a Pre-Rep Questionnaire and standardized U4 packet,
- Provide a formalized Continuing Education Program ("CEP") through the Firm Element and Regulatory Element statutory process,
- Facilitate onsite compliance, training and inspections
- Prepare, maintain and disseminate a Compliance Manual with attached supervisory procedures,
- Conduct an annual compliance meeting and ensure Rep participation at the client's specified office or location,
- Administer compliance training for reps, including supervision, on-site office inspections, books and records requirements, sales material and current Rep dossier files,
- Define permissible Rep activities and conduct office inspections
- Carry Rep licenses pursuant to the firm's "limited" broker dealer status, such as the Series 6, 7, 24, 26 and Series 63.
Download current SRO Jurisdiction Fees
News
Jul 1 2008
Foreside is pleased to extend its existing service relationship with RMR Advisors, Inc. more
Jun 16 2008
Foreside welcomes the Allstate Financial Investment Trust as a new client of our firm. more
May 27 2008
Rich Berthy will assume the role of President, Foreside Financial Group, LLC from May 30th, 2008. more
May 07 2008
Foreside leases new office space in Columbus, OH to meet expansion plans. more
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Success Stories
Read about the successful experiences that our clients have had with our services.