Securities
Contacts
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CFG Securities Contacts
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Sponsor / Vendor Spreadsheet
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Sponsors - Company Contacts 10-04-2022
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Royal Alliance Contacts
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Fast Track Numbers
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Advisor Support Leadership Team
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Royal Alliance Escalation Contacts
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Onboarding
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Advisor
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Onboarding Checklist
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Assistant
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Onboarding Checklist
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Learning
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Learning Modules
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Firm Element & Annual Compliance Meeting
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E&O
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FINRA CE
Compensation & Fees
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General
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Requesting a Split Code
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CFG Payout Grid
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Minimum Production Requirements
Licensing & Registration
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State Insurance Licensing
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State Securities Registration
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Company Appointments
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Annual Renewals
Succession
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Book of Business Reassignments
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Account Reassignments (One-Off)
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Business Continuity
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Contracts & Legal Agreements
Supervision
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Queues – TR Prep, TR Supervision, SF Account Supervision
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Running a Compliant Office
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Audit Prep
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PTA
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Correspondence - Incoming and Outgoing Correspondence
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Disclosures - Signage, Advertising, Email Signature, Voicemail
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Advisor Practice Reviews
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When it is needed, how to obtain, steps
Money Movement
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Check Deposit Sheet (to 3rd Parties)
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Check Logging
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NFS Mobile Deposit
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NFS Enhanced Money Movement Process
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Transfers (ACAT vs. Non-ACAT), Journal Requests, Wet vs. eSignature
Medallion Signature
Guarantee
Technology
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Mobile Apps
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Cyberguard
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System List & Explanations
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Email Setup
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Reporting (Oneview)
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Other Software – Planning Software | MGPro, Riskalyze, MoneyTree, Copytalk
eQuipt
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Guide
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eQuipt Setup Instructions
Advisory Services
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Platform Definitions
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Fee Based Annuities
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Systematics in WMP
Marketing & Social Media
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Business Cards & Letterhead
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Social Media / Social Media Dashboard
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Spin Services for Reg Reps
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AdTrax
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Meetings & Events (Reimbursement, Materials, Vendor Partnerships)
Salesforce
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ServiceNet (to be Support Center)
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Reporting