For broker-dealers, collecting and maintaining all necessary information for registered reps is hugely time-consuming. When tracking licenses, appointments, registrations or continuing education requirements, it’s critical to have a tracking and workflow solution that aggregates data and provides real-time information about your registered reps.
NRS’ ComplianceGuardian™ Registration and Licensing solution aggregates and manages data about your registered reps that is critical for compliance management. Manage licenses, registrations and renewals on a state-by-state level through a single, centralized database.
Compliance administrators can immediately see registration states and the status of a rep’s license request, series 65 certification, CE requirements and more.