Do you use paper applications, forms, and checks?
Yes No
Has any of your clients' paperwork ever been lost or delayed in the mail?
Yes No
Are commission payments ever delayed?
Yes No
Do you ever receive paperwork missing vital information which requires time-consuming follow-up?
Yes No
Have you ever had a Rep make a sale in a state in which they weren't licensed?
Yes No
Have you ever needed a list of all dollars invested with a fund group or variable company for market discussions?
Yes No
Do you spend time looking for Rep data while reviewing orders for compliance purposes?
Yes No
Does it take you more that a couple of hours to prepare for an NASD audit?
Yes No
Does it take more than one person to prepare for an NASD audit?
Yes No
If you answered yes to four or more of the questions above, please take a look at our demo. Please email us with your name, B/D and phone number for additional information.