Firm: Initial Rep Info Gathering

Firm: Initial Rep Info Gathering

Gather Rep Information from CRD

(We will be gathering information on Active and Terminated Reps, so that you can provide complete and accurate reports during audits)

1. Download ACTIVE Reps

      a. Download the report from CRD

Log into FINRA CRD > Select REPORTS on left side > Select ALL >  Select ACTIVE INDIVIDUALS ROSTER report
CRD > Reports > Active Individuals Roster

      b. Edit the report Columns

Select COLUMNS (on the left) to match the ones shown below (image, right side)

     c. Export Active Individuals

Export > Advanced Export > Export as a single file > CHECK Employments > EXPORT





2. Download TERMINATED Reps

      a. Download the report from CRD

FINRA CRD > Select REPORTS on left side > Select TERMINATIONS >  Select TERMINATED INDIVIDUALS report
CRD > Reports > Terminations > Terminated Individuals

      b. Edit Terminated Date Filter

Filter the report to include the terminated individuals for the previous 3 years.
(if you want to go back further, you must run again with a new End Date filter)

FILTER > by "Employment End Date" > Past "3" years > APPLY FILTER > search "end date" again > select "Employment End Date" > DONE > EXPORT

      c. Export Terminated Individuals

Export > Advanced Export > Export as a single file > CHECK Employments > EXPORT



3. Download CE WINDOW Information

      a. Download the report from CRD

FINRA CRD > Select REPORTS on left side > Select CONTINUING EDUCATION >  Select ANNUAL REG ELEMENT - OVERALL CE STATUS BY REGISTERED INDIVIDUAL report
CRD > REPORTS > CONTINUING EDUCATION > ANNUAL REG ELEMENT - OVERALL CE STATUS BY REG INDIVIDUAL

      b. Export CE Info

Export > Quick Export > EXPORT

4. Gather the Reports

      a. Reports are Ready for Download

FINRA CRD > Select REPORTS on left side >  Select EXPORT READY FOR DOWNLOAD links on the right side


This will download the reports to your computer. Use the information to manually add Rep|Employee info into Compass OR to send to your Compass contact to assist with the onboarding.



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