Transitioning to a new broker dealer can be an overwhelming and taxing job for a financial representative and their office. Here at Sigma, we have created one central area devoted specifically to assist you with your transition. Made up of our Firm Development Department and Licensing Department, this area has one goal in mind … to see that your transition into Sigma runs smoothly with minimal interruption to your business.
Services available through Firm Development and Licensing:
FINRA CRD Services: Sigma Financial’s Firm Development and Licensing staff are available to help you with your initial FINRA registration with Sigma and any amendments including address changes, state registration changes, and annual renewals.
New Rep Transition: Each new representative is assigned to a Transition Team consisting of a Firm Development member and a Licensing Coordinator. Your Transition Team will be your initial point of contact for all your new rep training and client transition items.
Client Transition: Your core Transition Team will work with you to create a customized client transition plan. They will also work as a liaison with our Design Department for reps that need assistance creating letterhead and business cards.
Securities & Investment Advisor Rep Licensing: The Licensing Department will take care of all your securities or investment advisor representative licensing needs. Simply call a Licensing member or submit an online request and we’ll walk you through the steps to get a state license approval.
Variable Appointment Processing: Variable annuity and life appointment forms can be obtained by calling or emailing a Licensing Department member or can be downloaded off the forms section of our website. After you complete the form, fax it into our Licensing Department where we will attach your FINRA CRD report and submit it to the company for processing. We check appointments for completion on a weekly basis and send you an email or fax confirmation with your effective date and rep code.
New Rep Seminar: New Reps are required to complete New Rep Training either by watching 10 pre-recorded WebEx presentations from the comfort of their office or by attending a one-day seminar at our home office. New Rep Seminars are held the third Wednesday of every month and give you the opportunity to meet the Sigma staff, receive training, and ask questions directly to the people who will be working with you on a day-to-day basis.