Popular Articles
Firm: Books & Records Download Links
While Compass securely stores submitted documentation (attestations, reviews, etc), in the Firm's drive (access via Command Center), the Firm is ultimately responsible for storing Books & Records in their designated location (whether on Firm servers, ...
Rep Dashboard
Rep Dashboard Location of Firm’s most current versions of WSP (Written Supervisory Procedures) & RIA Manual [WSP Attestation] Button will attest to your having access, and responsibility to adhere, to the WSPs/RIA Manual w date of last attestation ...
Fingerprint Instructions - Foreign, Physical Cards
OBTAIN CARDS (for a BD) Buy blank cards from FINRA/Sterling FINRA-specific fingerprint cardstock may be purchased from Sterling for $14.00 (includes 25 cards with shipping & handling) To order, contact Sterling Client Support at ...
Firm: PreHire|New Hire Steps
QUICK STEPS Review Safe Harbor calculation Send email (via Onboarding Dashboard button) to Candidate (or Resend) Candidate completes PreHire Authorization Form + ID request + any Firm PreHire form(s) Firm + Consultant (if selected) receive an email ...
Firm: Add or Edit any Firm Information, Documents and Links
1. Add|Update Important Firm Emails & Address 1. Fingerprint Code If you use Electronic fingerprint w FieldPrint, the fingerprint code for your firm goes here 2. Firm Businesses Depending on the specific firm type, client type, or ...