Polar Investment Counsel, Inc.

Independent Securities & Futures Brokers

Member: FINRA, NFA, MSRB, SIPC


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Join us as a financial professional

 

 
 

Become an Owner not an Employee ... Keep More of What You Earn

Declare Your Independence!

       
  Being Independent

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 more freedom?

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!

 

  Transitioning

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.

  1. Initial conversations with Mike Jordan.
  2. Execution of an Information Release Form and Prehire Business Questionnaire, Prehire Secrecy  Arbitration Agreement so we can review your business mix and CRD records.
  3. Conversation with Mike Jordan regarding association with firm.  If a good fit, a contract would be offered next.
  4. 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.
  5. Registration process generally takes 2-4 weeks depending on registrations and any disclosure items.
  6. 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.

Forms

 

PICI Information Release Form

Pre-Hire Business Questionnaire

Pre-Hire Secrecy-Arbitration Agmt

FINRA Form U4

 

 

Requirements

 

Licensing/Registration - 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:

  • Windows based computer with W8 or above.  Our HTS system is windows based.  Chrome or Edge are the browsers preferred for best efficiency.

  • Microsoft Office products - Outlook is the email program we use; reports are produced in Word and Excel so any other product may not be compatible.

  • Printer/Scanner - we communicate largely by email with scanning and emailing important documents such as client account opening forms.

  • Dedicated phone 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.

 

 

 

 

 

 

 

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