Corporate RIA

Belonging to our Corporate RIA (Registered Investment Adviser) allows you to offer investment advisory products and services to your clients. These advisory services include:

• Sales of fee-based management account products
• Charging fees for the creation of financial plans
• Conducting seminars for a fee
• Providing similar employer-sponsored services

Fee-based products and services
As a Financial Adviser of our Corporate RIA, you have access to a number of fee-based products and services, including:

• Portfolio management services
• Mutual fund asset allocation services
• Personal financial planning
• Employer-sponsored services
• Employee seminars

Advisory support
Advisory support includes:

• Product sales assistance
• Webinars
• Continuing education
• Centralized advertising review
• Financial plan review

Registration guidelines for the RIA program
Under the Corporate RIA, you will be registered with your state as an adviser representative and may offer advisory services to clients if you meet both your state and our requirements:

• Acceptable FINRA and insurance department disciplinary records, as determined by Compliance
• Approval from Field Manager and Supervising Registered Representative (SRR) on your request for admission
• Meet state licensing/qualification standards in each state you operate a place of business
• Your SRR must be registered with the Corporate RIA