Do you have a strong
desire to establish your own business?
Do you have the ability
to operate on an independent basis without the support
of a large firm?
Do you have basically a
clean registration and current book of business?
Do you desire to retain
more of what you work so hard to earn?
Do you like the idea of
working from a home office on our own time and having
Give us a call and let
us tell you more about being an independent financial
professional with Polar.
DECLARE YOUR INDEPENDENCE AS A FINANCIAL PROFESSIONAL!
The transition from
leaving one firm and joining another can be fairly easy.
We provide you with all the necessary forms and guidance
along the way. It is important to understand that
transitioning is a process and if done properly, can go
smoothly. That's not to say there won't be bumps
along the way, but our staff is here to assist you.
Timeline to Joining
As with all
associations, first things come first.
conversations with Mike Jordan.
- Execution of an
Information Release Form and Prehire Business
Questionnaire, Prehire Secrecy Arbitration
Agreement so we can review your business mix and CRD
- Conversation with
Mike Jordan regarding association with firm.
If a good fit, a contract would be offered next.
- Completion of
Admin work with Sherry Abbott. Signing of PICI
Contract, completion of FINRA Form U4, Outside
Business Activity form, copy of U5 or termination
notice and completion of fingerprint cards (provided
by firm) and execution of background release form.
- Registration process generally takes 2-4 weeks
depending on registrations and any disclosure items.
- Once FINRA approved, the Home Office will work
with you in transferring your client accounts.
There are very specific regulations and rules we
must follow and protocol in sending out firm
documents to clients.
PICI Information Release Form
Pre-Hire Business Questionnaire
Pre-Hire Secrecy-Arbitration Agmt
the type of business you conduct will determine what
registrations you must hold. In addition to
registration, you must be approved in any jurisdiction
prior to solicitation. As an independent, you are
responsible for paying all licensing/registration fees.
Technology - Being
independent, you are responsible for your own office and
equipment. At the minimum we require:
computer with W8 or above. Our HTS system
is windows based. Chrome or Edge are the
browsers preferred for best efficiency.
products - Outlook is the email program we use;
reports are produced in Word and Excel so any other
product may not be compatible.
- we communicate largely by email with scanning and
emailing important documents such as client account
line - can be a cell phone but must be
identified as a business line. Note: the firm
does not allow texting with clients unless you have
your entire phone captured for archiving and review
and that comes with an additional fee.