Foreside // Distribution Services // Registered Representative Services

Registered Representative Services

We can quickly assist you with all of your firm's registered representative ("Rep") compliance needs. Please email or call either MARK S. REDMAN, Director, Foreside Distributors, LLC, at (614) 416-8834 or DAVID M. WHITAKER, Chief Operating Officer, Foreside Financial Group, LLC, at: (207) 553-7142, for a confidential discussion.

Our services include:

  • Rep FINRA and state registration:
    • Maintain appropriate FINRA registrations at the state and regulatory level,
    • Provide a guidepost as to SRO jurisdiction fees,
    • Maintain a complete database of all Rep information, both electronic and hardcopy, at the firm level.
  • Rep compliance and administration, includes:
    • Facilitate and process all Rep registrations and renewals utilizing a Pre-Rep Questionnaire and standardized U4 packet,
    • Provide a formalized Continuing Education Program ("CEP") through the Firm Element and Regulatory Element statutory process,
    • Facilitate onsite compliance, training and inspections
      • Prepare, maintain and disseminate a Compliance Manual with attached supervisory procedures,
      • Conduct an annual compliance meeting and ensure Rep participation at the client's specified office or location,
      • Administer compliance training for reps, including supervision, on-site office inspections, books and records requirements, sales material and current Rep dossier files,
      • Define permissible Rep activities and conduct office inspections
      • Carry Rep licenses pursuant to the firm's "limited" broker dealer status, such as the Series 6, 7, 24, 26 and Series 63.

SRO Jurisdiction Fees Download current SRO Jurisdiction Fees

News

Sep 30 2009

Foreside is pleased to announce Susan Mosher has joined Foreside as President of Foreside Alternative Investment Services ("FAIS"). more

Sep 25 2009

Foreside is pleased to expand its current relationship with Turner Investment Partners. more

Sep 21 2009

Foreside is pleased to expand its current relationship with Bridgeway Capital Management, Inc. more

Sep 15 2009

Foreside welcomes Ardmore Investment Partners LLC as a new client to our firm. more

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