NRS Tracker
NRS Tracker™ is a fully integrated database management system linking the registration, licensing and appointments of registered representatives to state by state requirements, including continuing education so you can monitor any rep at any time. Save time and money by using this cost efficient tool for managing the details of the licensing, registration and appointments for your firm's registered representatives.
Through NRS Tracker™, information for your firm, associated branches and registered representatives are tracked. Branches are assigned to firms and registered representatives are then assigned to branches in an organized easy to access fashion. For each representative, you can track licenses, appointments, registrations, and the continuing education requirements. Continuing education requirements are built-in on a state-by-state level for broker-dealer registrations and insurance appointments. The system will alert you as to what requirements need to be met and when, as well as track the completion of those requirements. Intelligently, NRS Tracker™ will not allow you to register a representative unless the requirements are met. In addition, the system has built in rules to avoid such things as registering a representative in a state where a firm is not registered or seeking an appointment without an associated carrier.
NRS Tracker™ has a built in e-mail tool, as well as the ability to create custom templates for rep forms your firm uses frequently. In addition, NRS Tracker™ can automatically populate the Form U-4 and the Form U-5.
Best of all, the registration department has access to remote registered representatives via the internet - no phone calls or interoffice mail.
TrackerWeb™, an additional module allows for easy access to the information by remote representatives and branches and provides a communication link to the central compliance office. Registered representatives can conveniently review their licenses, registrations and appointments as well as pending continuing education requirements by logging on to their 'home page.' If necessary, registered representatives can request an additional registration via the built-in web links and that request immediately goes into the tasks for the registration department, where it is continually tracked by the system until complete.
So, forget the paper, forget interoffice mail, forget voicemail. Use NRS
Tracker™.
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