Registered Representative Resource Hub
Your central location for sales support, compliance, commissions, and other essential ESI resources.
Agent Resources
Quick access to essential tools and support.
Ongoing Sales Support
Ongoing support from the ESIβs Partner Experience Group (PEG Team) and the New Business Team is always available. The PEG Team provides personalized training on account types, products, and business workflow within Docupace, including:
- New business Products and Services with ESI
- ESI Business Tools
- Advisory, Brokerage, & Third Party Asset Management
- Technology Platforms: Marketing, Calendars and Planning
- Qualified Plan Providers & Strategic Partners
*Make sure you are logged into the NLG portal prior to clicking the link.
Licensing & Sponsorship
Important:
Soliciting or transacting business in a state in which you are not securities registered and/or licensed is illegal. Business transacted in this manner will be rejected and representatives risk termination.
Work with Laney to complete and submit the required forms for state licenses and carrier sponsorship. All variable appointment requests must be processed through ESI.
*Work with Laney to submit these forms.
Your Annual Compliance Checklist
Based on your registrations, you will need to complete a 2 or 4 step process. Full info here.
Annual Compliance Meeting & Firm Element CE
Failure to complete required CE elements by October 30th may be subject to a $100 fine for the first day, and a $25 fee per day thereafter until complete. Failure to complete by 12/31 could result in additional disciplinary action up to including termination of your ESI registration.
How to Access:
- NLG Portal
- ESI
- Tools
- Training & Education
- RegEd
Annual Regulatory Element CE
Once logged in to FINPRO your courses are assigned by FINRA based on each Registration you hold.
Go to Finpro.finra.org
Investment Adviser (IAR) CE
Some states have adopted an annual IAR-CE requirement. Each IAR is responsible for determining which is applicable to them. The IAR must enroll and complete the required course, providers then report results back to FINRA.
How to Check Requirements:
- Visit NASAA's Website
- Find your state's rules.
IAR Quarterly & Annual Reporting
At the end of each quarter submit the required documentation. Upon immediate login, you will see a To Do list and To Review list, which shows the outstanding reporting you have to complete for that quarter. Your username is your Agent Writing ID.
Go to StarCompliance
See the ESI Regulatory Disclosures page for details.
Business Compliance & ESI Policies
Find the most up-to-date ESI field notices, procedures, and policies here. Remember to log into the NLG portal.
- Client Files: Must be kept in locked Paper File or electronically in Docupace.
- AdTrax: Submit all advertising and sales literature through AdTrax.
- Annual Client Contact: Read the guidance on the required annual review for all advisory clients.
- Blotter Requirements: Read the requirements for recording the handling of all checks and physical securities.
- Compliance Texting: Use Global Relay for all business-related text communications.
- Written Supervisory Procedures
- ESI Code of Ethics
- ESI Field Notices
- SEC Rulemaking Activity