Changing Broker/Dealers – Registered Representative Training

When changing broker/dealers, we believe comprehensive training is essential to a successful transition, which is why we offer:

  • Orientation to help you become familiar with SII policies and procedures.
  • An all-inclusive startup package, including instructions for processing business with SII.
  • Technology training delivered by an Electronic Order Entry (EOE) specialist.
  • LaserApp Software capabilities designed to automatically populate client data and ensure all applicable forms are up-to-date.
  • Conference calls with key home office personnel, allowing you and your staff to ask questions and get to know the people who will be supporting you and your financial business.

Training opportunities offered to Representatives are available long after the transition process has been completed. Routine field reminders are distributed to remind you of annual education requirements, and we allow you the convenience to track and monitor your progress directly from the SII website.

Each year, we continue to grow and develop our educational offerings. Meetings, discussions, workshops, online events, and other means are available to advisors to enhance understanding of operational procedures, sales practices, technology, compliance and regulatory issues, product knowledge, client protection requirements, disclosures, suitability, ethics, and a range of other subjects.