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Securities
Contacts
  • CFG Securities Contacts

  • Sponsor / Vendor Spreadsheet

    • ​Sponsors - Company Contacts 10-04-2022

  • Royal Alliance Contacts

    • ​Fast Track Numbers​​

    • Advisor Support Leadership Team

    • Royal Alliance Escalation Contacts

Onboarding
  • Advisor 

    • ​Onboarding Checklist

  • Assistant

    • ​Onboarding Checklist

Learning
  • Learning Modules

  • Firm Element & Annual Compliance Meeting

    • ​E&O

  • ​FINRA CE

Compensation & Fees
  • General

  • Requesting a Split Code

  • CFG Payout Grid

  • Minimum Production Requirements

Licensing & Registration
  • State Insurance Licensing

  • State Securities Registration

  • Company Appointments

  • Annual Renewals

Succession
  • Book of Business Reassignments

  • Account Reassignments (One-Off)

  • Business Continuity

  • Contracts & Legal Agreements

Supervision
  • Queues – TR Prep, TR Supervision, SF Account Supervision

  • Running a Compliant Office 

    • Audit Prep

    • PTA

    • Correspondence - Incoming and Outgoing Correspondence

    • Disclosures - Signage, Advertising, Email Signature, Voicemail

  • Advisor Practice Reviews

  • When it is needed, how to obtain, steps

Money Movement
  • Check Deposit Sheet (to 3rd Parties)

  • Check Logging

  • NFS Mobile Deposit

  • NFS Enhanced Money Movement Process

  • Transfers (ACAT vs. Non-ACAT), Journal Requests, Wet vs. eSignature

Medallion Signature
Guarantee
Technology
  • Mobile Apps

  • Cyberguard

  • System List & Explanations

  • Email Setup

  • Reporting (Oneview)

  • Other Software – Planning Software | MGPro, Riskalyze, MoneyTree, Copytalk

eQuipt
  • Guide

  • eQuipt Setup Instructions

Advisory Services
  • Platform Definitions

  • Fee Based Annuities

  • Systematics in WMP

Marketing & Social Media
  • Business Cards & Letterhead

  • Social Media / Social Media Dashboard

  • Spin Services for Reg Reps

  • AdTrax

  • Meetings & Events (Reimbursement, Materials, Vendor Partnerships)

Salesforce
  • ServiceNet (to be Support Center) 

  • Reporting

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