Selling Agreement Broker Dealer

To start selling our pensions, your broker or agency must enter into and execute a sales contract with us. The sales contract defines the annuity products available for sale for your broker or agency. We work closely with your broker or agency to establish a strong working relationship and clarify roles and responsibilities. Once the sales contract is concluded, the appointment process can begin. If you have any questions, call our pension counter at 1-866-335-7355. Our securities lawyers have been supporting broker-dealers from the beginning. We help you make new membership requests, update business data (for example. B statuses, partnership contracts, etc.), to help you with registration requirements and compliance processes for registered agents and to develop training programs. To learn more about our training services, please visit our broker-dealer training page.

Among the ongoing broker-dealer lawyer evaluation services of our lawyers and professionals are: dealers have many regulatory requirements that they must meet. How can, for example, social networking due diligence and surveillance be managed? What are the current rules regarding cash in relation to non-cash allowances and what can you pay or not pay for? How should the adequacy and consideration of the supply of a new product be verified? At Jacko Law Group, we provide legal advice and services on the issues and challenges facing today`s broker-dealers companies. Send your completed appointment form and proof to your broker or agency. Once your broker or agency has authorized the request for an appointment, they must send the documents by email or fax to Securian. Some customers want to buy an existing broker-reseller shell. Others want to improve their existing compliance programs. Whatever the need, JLG can help them: due to the compensation structure of brokers, you must contact your IMO to complete the corresponding appointment form, contract contract and all additional forms. Your IMO must approve this paperwork and pass it on to Securian. Once we execute your final agreement, you will receive a producer code.


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