Licensing & Registration when Changing Broker/Dealers

As an independent broker/dealer, we understand that changing broker/dealers can be a daunting task. SII's Licensing & Registration Enrollment Center provides detailed information regarding the enrollment process for each of your staff members, including one-click access to required paperwork. Once submitted to our Registration Department, we quickly process this information in our back office systems and communicate changes to other internal departments to ensure effective service to each of our registered representatives. Additionally, we offer assistance with state securities registration, office and residential address updates, examination requests, and regulatory reporting as required by FINRA.

Included in the exclusive practice management discounts we offer to our registered representatives, you will also receive access to the top names in the financial services business for online education, pre-licensing, exam preparation and classroom training, to assist you in earning additional licenses and designations.