Licensing and Compliance
Packerland Brokerage Services 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 Packerland Brokerage Services Operations manual provided at no charge
- Training on CSS (SWS Securities) trading software, provided at no extra cost
- Our New Business and Southwest Securities areas provide 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