Registered Representative Services

When you need support for your Mutual Fund, Private Fund, or other Investment Vehicle with Registered Representative services, you can count on Herald Investment Marketing. We can:

  • Maintain Registered Representative licenses, including Series 6, 7, 22, 24, 26, 63, 79, and 82
  • Process all FINRA Registrations, tests and renewals
  • Maintain appropriate FINRA and state registrations
  • Facilitate FINRA’s Continuing Education Program, both Firm and Regulatory Elements
  • Prepare, maintain and disseminate to all Representatives a Compliance and Supervisory Procedures manual
  • Create a registered representative Code of Ethics, policies and certification
  • Support for the Annual Compliance Meeting
  • Administer ongoing Compliance Training for Registered Representatives, including supervision, on-site office inspections, books and record requirements, sales material and other required files
  • Compliance updates to ensure any industry changes or any policy changes regarding registered representatives are not a surprise to you
  • Define permissible Representative activities; establish supervising principal at Office of Supervisory Jurisdiction location and provide training; Consult with current Reps and supervising principals

Herald Investment Marketing provides registered representative services to funds and firms alike. We offer sponsorship and consulting related to FINRA-held advisor staff licenses. We also offer support with procedures, policies and registered representative supervision.

Whether you need help with Registered Representative licensing registration, Registered Representative training services, sponsorship of securities licenses for your staff, supervision of registered representatives or other services, Herald Investment Marketing can help. We can create personalized solutions for your needs.

Every registered investment service representative is affected by FINRA and SEC regulations and rules. These rules are updated often, so staying up to date about compliance requirements is important. Herald Investment Marketing has a thorough understanding of the compliance environment.

Why Registered Representative Services?

While it’s possible to hire, screen and train registered representatives for your organization to help you reach a wider audience, this profession is highly regulated. Registered representatives need to pass the FINRA-administered Series 7 examination or a Limited Representative Qualifications Exam. Some states require these professionals to pass the Series 63 examination, and if your fund or firm has offices in multiple states, it can quickly become a challenge to know which requirements must be met.

Registered representatives are authorized to complete some transactions, and it is important that any registered representatives you work with understand what they can and cannot say in client communications and what they can and cannot do. You must also ensure your registered representatives follow required ongoing education requirements.

If your registered representatives make any errors, you will be held accountable, so you need a strong management program. Whether you want to improve compliance of your registered representatives or want outsourcing solutions, Herald Investment Marketing can help.

Why Herald Investment Marketing?

At Herald Investment Marketing, our goal is to ensure you have the registered representative services you need. We have been an industry leader in compliance, legal, consulting and related services for funds and financial firms around the world. Our range of expertise means we have been the trusted choice for multi-billion dollar funds and firms, allowing us to offer registered representative services in a variety of contexts. We know how to make registered representative services work to offer you greater efficiency.

Contact Herald Investment Marketing

Herald Investment Marketing offers comprehensive regulatory advisory solutions for a wide array of financial firms, funds and advisers. If you need robust and sophisticated compliance plans, audit support or other services, our range of bespoke services can help. Respected industry leaders turn to professionals when they need compliance services. If you’d like to learn more, contact Herald Investment Marketing to learn how we can help you.

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Modified: November 7, 2018