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Firm: Command Center Dashboard
Command Center PRINT/Save to PDF the dashboard view of all data Shortcuts to Compass Knowledge Base and Instructions (detailed How-To instructions) Breaks down the number of active (non-terminated) reps the Firm has, by type MY FIRM Middle line is a ...
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 ...
Firm: FinCEN 314a Review Steps
FinCEN Dashboard (Optional) If you prefer to upload the latest Client List, delete previous list 1. Import most recent client list into Client List Report **Ensure the spreadsheet is saved as CSV **Names must be in ONE column. Full Name (Individual's ...
Rep: Onboarding Dashboard
Rep Onboarding Dashboard Onboarding Portal Map FinPro Link: This will take you directly to Finra's FinPro site to 1) review U4 info 2) Take CE You must create an account directly with that link. You can reset your password directly if needed. Current ...
Firm: Onboarding
1. Have Rep Sign Agreement with the Firm If Firm uses a generic agreement, it can be added to FIRM INFO and it will auto-send with prehire 2. Set Up Firm Email Ensure it’s being captured Ensure Rep has access 3. Determine the Rep’s Start Date 4. ...