Licensing & Compliance
We understand you have materials that work for your sales presentation. That’s why our compliance procedures are streamlined for quick turnaround—typically 24 to 48 hours. You need to hit the ground running after transitioning to a new firm, and we need to support you. We get it.
All of our regulatory guidance is designed to protect you. We provide comprehensive training on policies and in-house procedures, so submitting requests is fast and uncomplicated. Our trained professionals have in-depth, up-to-date knowledge of all federal and state regulations and the resources to respond accurately and quickly to your questions and submitted materials.
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.
Our services include:
- Expert transition from start to finish with assistance from our Licensing and Technology departments
- Written Supervisory Procedures manual and Representative Resource Kit for your ongoing reference
- Training on CSS (trading software) if the brokerage platform is part of your business model
- Compliance approval for business cards, letterhead, marketing materials, notice to clients, etc.
- Assurance that all FINRA and SEC compliance standards are met without imposing undue demands
- Fall Conference to meet your annual Compliance Meeting and Firm Element/AML requirements
- Assistance with registration materials to ensure your transition goes smoothly and efficiently
- Assistance with Broker-Dealer changes and ACAT transfers (using your client data and form-filling software)
- Variable company appointment paperwork on website in PDF format with processing and follow-up
- Assistance in obtaining licenses in additional states where you do business
- Ongoing continuing education for WI and other states through our Marketing and Education Dept.
- Discounted exam preparation material through Kaplan Financial