Licensing and Compliance

PBS has designed a streamlined transition process to provide a smooth transfer of your business with no interruption in your licensing. Our team stands ready to assist you throughout the transition process.

• Assistance in obtaining licenses in additional states where you do business
• Comprehensive training with the PBS Operations manual provided at no charge
• Training on CSS (SWS Securities) trading software, provided at no extra cost
• Assistance with Broker/Dealer changes and ACAT transfers for brokerage accounts
• Ongoing continuing education opportunities for Wisconsin CE requirements
• Compliance approval for stationery, business cards, correspondence, etc.
• Full FINRA and SEC compliance standards without undue demands
• Discounted exam preparation material through Kaplan Financial
• Annual Compliance Conference