Registered Representative

Registered Representative Solutions

Compliance Assurance
When you need support for your Mutual Fund, Private Fund, or other Investment Vehicle with Registered Representative solutions, you can count on Vigilant. 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 Written 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

Vigilant, through its distributor, provides Registered Representative solutions 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 solutions, sponsorship of securities licenses for your staff, supervision of Registered Representatives or other solutions, Vigilant 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. Vigilant has a thorough understanding of the compliance environment.

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Why Registered Representative Solutions?

While it’s possible to start your own Broker Dealer  provide the capital hire, screen and train the required personal and meet the regulatory requirements so you can employ Registered Representatives for your organization to help you reach a wider audience. However, the outlay of resources is significant as 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, Vigilant can help.

Why Vigilant?

At Vigilant, our goal is to ensure you have the Registered Representative solutions 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 Solutions in a variety of contexts. We know how to make Registered Representative Solutions work to offer you greater efficiency.

Contact Vigilant

Vigilant 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 solutions, our range of bespoke solutions can help. Respected industry leaders turn to professionals when they need compliance solutions. If you’d like to learn more, contact Vigilant to learn how we can help you.