Registered Representative
Registered Representative Solutions
Expand your distribution reach through Vigilant’s affiliated Broker-Dealer, Vigilant Distributors, LLC. We deliver comprehensive Registered Representative Services designed to support Investment Banking, Marketing, Private Funds, ETFs, Mutual Funds, Closed End Funds, and other Investment Vehicles maintain compliance while expanding their distribution reach.
With decades of compliance leadership, Vigilant simplifies the complexity of Registered Representative management through a proven model of licensing support, supervision, continuing education, and marketing review, ensuring your firm remains confident, compliant, and competitive.
Vigilant serves as your trusted compliance partner, providing the infrastructure, expertise, and proactive oversight needed to meet FINRA and SEC regulatory requirements, allowing you to focus on growth, investor relationships, and strategic distribution objectives.
Firms face increasing challenges in managing Registered Representative Licensing and Supervision. Establishing and maintaining an internal Broker Dealer requires significant resources and costs, from regulatory filings and capital requirements to personnel oversight and continuing education.
Our Services Include:
- Maintain all Registered Representative licenses including Series 6, Series 7, Series 22, Series 24, Series 26, Series 63, Series 79, and Series 82.
- Process FINRA and State Registrations, Exams, Terminations, and Renewals.
- Administer Annual Certifications and Attestations for all Registered Reps.
- We provide Supervisory Oversight for your Registered Representatives.
- Administer Written Supervisory Procedures.
- Ensure Compliance with FINRA and SEC Supervisory Requirements.
- Manage Branch Locations and Communication Reviews and Archiving.
- Collaborative approach to help you create effective Marketing Material.
- Review and approve Advertising, Marketing, and Sales Materials used by Registered Representatives.
- Provide feedback and maintain Compliance records of all approvals.
- Review of all Rep Communications.
- Facilitate FINRA Continuing Education Programs, including both Firm Element and Regulatory Element.
- Conduct on-going Compliance Training covering Suitability, Communications with the public, Anti-Money Laundering (AML), and Sales Practice standards.
- Maintain Attendance Logs and Training Certifications.
- Deliver on-going updates for FINRA and SEC rule changes affecting Registered Representatives.
- Issue Compliance Alerts and Policy Updates to keep your Firm aligned with evolving Requirements.
Why Registered Rep Support Matters
Establishing and maintaining an internal Broker-Dealer for Representative activities requires significant investment, infrastructure, and regulatory expertise. Firms face a complex web of FINRA and SEC Regulations that govern every aspect of Representative conduct, from registration and supervision to communications and compensation. Without proper oversight, even small administrative oversights can escalate into costly compliance deficiencies or enforcement actions. Vigilant offers a scalable alternative, providing your organization with the same level of oversight and control, without the operational burden. Our model provides the same regulatory protection and supervision expected of a fully staffed Broker Dealer, but without the operational complexity or financial strain of maintaining one in house.
Partnering with Vigilant allows your firm to:
- Focus on core distribution strategy rather than compliance administration.
- Operate with confidence knowing all representative activity is properly supervised and documented.
- Access a scalable infrastructure that adapts as your firm grows and adds additional Registered Reps, new products or distribution channels.
- Reduce regulatory exposure by making sure your representative program aligns with FINRA and SEC expectations.
- Enhance investor trust through transparent, well supervised representative conduct.
Our Approach
Vigilant provides hands-on, integrated support across all phases of your Representative lifecycle, from on-boarding to on-going supervision. We collaborate with your compliance, legal, and operations teams to implement a program that is customized to your products, structure, and distribution goals.
Our Approach Includes:
- Dedicated Supervisory support for Registered personnel.
- Pre-approval and monitoring of Communications with the public.
- Proactive oversight of outside business activities, gifts, and entertainment.
- Real-time guidance on evolving Regulatory expectations.
Get Started With Vigilant Today
We can provide all levels of Registered Representative support, whether you need short-term assistance or a long-term supervisory solution. Partnering with Vigilant gives your firm the confidence to operate efficiently and compliantly while focusing on growth. Contact us today to Request a Proposal.
