Rep: Onboarding Dashboard

Rep: Onboarding Dashboard

Rep Onboarding Dashboard

Onboarding Portal Map

  1. FinPro Link: This will take you directly to Finra's FinPro site to 1) review U4 info 2) Take CE
    1. You must create an account directly with that link. You can reset your password directly if needed.
  2. Current versions of firm’s WSP (Written Supervisory Procedures) and|or firm's RIA Manual
  3. Instructions for fingerprints (Unless Firm provides alternative instructions) & date completed
    1. ONCE COMPLETED, alert firm for their review/confirmation and they will enter date manually
  4. Status of required onboarding forms
  5. Links to required forms
    1. **If more than 1 need reporting, enter ONE PER FORM
      1. Example: if you have 3 OBAs, you must complete 3 OBA forms.
  6. Contact information for CCO/Compliance
    1. Email CCO when fingerprints are completed -OR- if you have any questions
  7. CE Window. If Red and Open, you MUST take, via the FinPRO link asap (and email compliance once completed)
  8. Additional Firm required Information or Forms (this area may be blank if firm has no additional requirements)
  9. Reports of submitted attestations

Next Steps

  1. All submitted forms will be reviewed, and accepted/rejected. Compliance will communicate any issues or information needed.
    1. Your internal status will change and your portal will be changed to the firm assigned access level
      1. Your login/password remain the same



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