Maintain FINRA Information

Displays summary information of the producer record currently open for review and/or updating.

Fields and controls in the Record Summary section include the following:

• Search Producer: Click the link to start a new search for a producer record. For more information, see Searching for Records.
• [Producer Name]: Displays the name of the individual or firm producer whose record currently is open in theReview/Update Producerpage. An icon to the left of the producer name signifies the producer's entity type, either individual () or firm ().Click the producer name link to refresh the producer record that is currently open in the Review/Update Producer page or to re-open the producer's record in the Review/Update Producer page from any other page in the system.
• Rating: If a producer has been assigned a productivity rating (no stars, meaning “not rated;” one star, “poor;” two stars, “satisfactory;” three stars, “good;” four stars, “outstanding;” or the symbol signifying a “Do Not Contract” alert), the display-only rating will appear to the right of the producer’s name.
• SSN: Individual producers only. Displays an individual producer's Social Security Number. The Social Security Number can be set per security role to mask the first five digits and display only the last four digits. For more information, see Maintain Security Role.
• EIN: Firm producers only. Displays a firm producer's Federal Employer Identification Number.
• External System ID: Displays the producer's identifier code in the external system that has been Vertafore-configured as your company's "preferred" system. For more information, see External System IDs, Configuration Options, and Advanced Producer Search.
• Active BU: Displays the short name of the business units to which a producer is actively assigned (sorted alphabetically). To expand the field to display all active business units, click the node ().
• NPN: Displays a producer's unique National Producer Number, assigned by the National Insurance Producer Registry (NIPR).
• Resident State/License: Displays the codes of the states that a producer claims as a resident state for licensing purposes (sorted alphabetically) and the producer's license numbers in those states. Includes active or inactive licenses. To expand the field to display all resident states and license numbers, click the node ().
• Additional States/Licenses: Displays the codes of the states in which the producer holds non-resident licenses (sorted alphabetically) and the license numbers in those states. Includes active or inactive licenses. To expand the field to display all resident states and license numbers, click the node ().
• Producer Contracting Workflow: If your company uses the onboarding and maintenance transaction component of the Sircon Platform, Producer Express, and a producer currently is associated with a request record in Producer Express, you can click the number in the field to launch Producer Express and view or work with the request record. (For more information, see the Sircon Producer Express Online Help.)
• Missing Required Information Alert: Displays an alert that the producer record lacks information that has been configured to be required in your company's deployment of the Sircon Platform. A producer record deficient of required information is considered "incomplete," and appointment or termination requests may not be submitted for the producer until the deficiency is corrected. Review the Quick Links box to identify and correct the specific details sections in the record with missing required information. For more information, see Configuration Options.
• CE Compliance: Display-only indication of a producer’s unfulfilled continuing education requirements. Indication will not appear if producer is current with continuing education requirements. Available by Vertafore configuration only; for more information, seeConfiguration Options.

Displays a table listing a selected producer's currently recorded jurisdiction state information.

Fields and controls include the following:

• Add New Jurisdiction State: Click to activate the edit fields in the Add/Update Jurisdiction State section, where you can add a jurisdiction state.

• Delete checkbox: For each jurisdiction state listed, click to checkmark the checkbox to select the jurisdiction state for deleting from the selected producer's record. Click the Delete button to complete the operation.

• State: For each jurisdiction state listed, displays the name of the state.

• Status: For each jurisdiction state listed, displays the current status of the producer's FINRA jurisdiction in the state.

• Effective Date: For each jurisdiction state listed, displays the date on which the producer's FINRA jurisdiction began in the state.

• Termination Date: For each jurisdiction state listed, displays the date on which the producer's FINRA jurisdiction ended in the state.

• Edit: For each jurisdiction state listed, click to transfer its values to the Add/Update Jurisdiction State section, where you can update the information.

Offers edit fields where you can update information about a producer's existing jurisdiction state or add a new jurisdiction state.

Fields and controls include the following:

• Clear: Click to clear all information currently in the data entry fields.

• State: Required. From the dropdown menu, select the name of the FINRA jurisdiction state. May not add a jurisdiction state that already exists with a Status of Active.

• Status: From the dropdown menu, select the current status of the producer's FINRA jurisdiction in the state.

• Effective Date: Required. Enter the date on which the selected producer's FINRA jurisdiction in the state became effective. Use the mmddyyyy date format. Or, click the Calendar button () to open a popup calendar from which you can click to select a date. Defaults to the current date.

• Termination Date: Required if Status is Inactive. Enter the date on which the producer's FINRA jurisdiction ended in the state. Use the mmddyyyy date format. Or, click the Calendar button () to open a popup calendar from which you can click to select a date. Must be on or after the Effective Date.

Displays a table listing a selected producer's currently recorded FINRA jurisdiction series information.

Fields and controls include the following:

• Add New Jurisdiction Series: Click to activate the edit fields in the Add/Update Jurisdiction Series section, where you can add a FINRA jurisdiction series.

• Delete checkbox: For each jurisdiction series listed, click to checkmark the checkbox to select the jurisdiction series for deleting from the selected producer's record. Click the Delete button to complete the operation.

• Series Type: For each jurisdiction series listed, displays its type.

• Edit: For each jurisdiction series listed, click to transfer its values to the Add/Update Jurisdiction Series section, where you can update the information.

Offers edit fields where you can update information about a producer's existing jurisdiction series or add a new FINRA jurisdiction series.

Fields and controls include the following:

• Clear: Click to clear all information currently in the data entry fields.

• Series Type: From the dropdown menu, select a FINRA jurisdiction series type. You may not select a jurisdiction series type already saved to the producer's record.

Fields and controls include the following:

• Delete: With one or items selected in the Current Jurisdiction StatesorCurrent Jurisdiction Series sections, click to delete them from the selected producer's record.

• Save: Click to save changes and refresh the page.

• Return: Click to exit without saving changes and open the selected producer's record in the Review/Update Producer page.