Maintain Securities Information

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

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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, see Configuration Options.

Displays a selected producer's state and self-regulatory organization (SRO) registrations, grouped by the firm (broker/dealer) with which the producer is or was affiliated.

If the producer record does not contain any registration information, the following message will display: "No Records."

Fields and controls include the following:

• Include Pending & Inactive Registrations: Click to checkmark the checkbox to toggle display of all of the producer's registrations, regardless of FINRA Status. Click to uncheckmark the checkbox to toggle display of the producer's active registrations only.
• Add Registration: Click to open the Add Registration popup window with edit fields in which you can manually record a registration for the selected producer.
• [FirmName]: The name of the firm (broker/dealer) related to the producer’s securities registrations. The total number of SRO and State registrations displays following the firm name. Or, if the producer's securities registration information was verified through an external source, displays the following message: "Verified Externally."
  • Delete (): Click to delete the firm (broker/dealer) and all of the producer's broker/dealer-related firm registrations. A popup message will open, asking you to confirm the delete action. Click the Confirm button to proceed, or click the Cancel button to abort the operation.
  • SRO Registrations: Displays a producer's broker/dealer-related SRO registration information, including the following fields:
    • SRO: For each SRO registration listed, displays the name of the SRO.
    • Category: For each SRO registration listed, displays the registration category.
    • FINRA Status: For each SRO registration listed, displays the status of the registration with the Financial Industry Regulatory Authority (FINRA).
    • Approval Date: For each SRO registration listed, displays the registration approval date.
    • Status Date: For each SRO registration listed, displays the date on which the registration's FINRA Status last was updated.
    • Added By: For each SRO registration listed, displays the user name of the human or system user that added the registration to the producer record and the date on which it occurred.
    • Updated By: For each SRO registration listed, displays the user name of the human or system user that last modified the registration on the producer record and the date on which it occurred.
    • Actions: For each SRO registration listed, offers the following controls:
      • Edit ():Available with manually recorded SRO registrations only. Click to open the selected registration in the separate Edit Registration popup window, where you can update its information.
      • Delete (): Available with manually recorded state registrations only. Click to delete the registration. A popup message will open, asking you to confirm the delete action. Click the Confirm button to proceed, or click the Cancel button to abort the operation.
  • State Registrations: Displays a producer's broker/dealer-related state registration information, including the following fields:
    • State: For each state registration listed, displays the name of the state.
    • Category: For each state registration listed, displays the registration category.
    • FINRA Status: For each state registration listed, displays the status of the registration with the Financial Industry Regulatory Authority (FINRA).
    • Approval Date: For each state registration listed, displays the registration approval date.
    • Status Date: For each state registration listed, displays the date on which the registration's FINRA Status last was updated.
    • Added By: For each state registration listed, displays the user name of the human or system user that added the registration to the producer record and the date on which it occurred.
    • Updated By: For each state registration listed, displays the user name of the human or system user that last modified the registration on the producer record and the date on which it occurred.
    • Actions: For each state registration listed, offers the following controls:
      • Edit (): Available with manually recorded state registrations only. Click to open the selected registration in the separate Edit Registration popup window, where you can update its information.
      • Delete (): Available with manually recorded state registrations only. Click to delete the registration. A popup message will open, asking you to confirm the delete action. Click the Confirm button to proceed, or click the Cancel button to abort the operation.
  • Externally Verified: Click to checkmark the checkbox to indicate that you have verified the producer's broker/dealer-related registrations with an external data source. A message box will open, asking you to confirm. Click the Confirm button to proceed, or click the Cancel button to abort the operation.

Popup window offers edit fields in which you can add a new or update an existing firm-related registration for a selected producer.

Fields and controls include the following:

• Select a Firm ...: Available only when adding. From the dropdown menu, select the firm (broker/dealer) with which the producer is affiliated. Select the name of a firm with which the producer already has or had a registration. Or, select Add a New Firm ... to open the Search Firm page, where you can search for a new firm. (For more information, see Searching for Records.)
• Firm: Available only for edits. Displays the name of the firm (broker/dealer) with which the producer's registration is related.
• Registration Type: Required. View only for edits. From the dropdown menu, select the type of registration, either SRO or State.
• SRO: Default.SRO registrations only. View only for edits. From the dropdown menu, select the name of the SRO.
• State: State registrations only. View only for edits. From the dropdown menu, select of the name of the state.
• Category: View only for edits. From the dropdown menu, select the registration category.
• FINRA Status: Required. From the dropdown menu, select the status of the registration with the Financial Industry Regulatory Authority (FINRA).
• Approval Date: Required. Enter or update the registration approval date. Use the mmddyyyy date format. Or, click the Calendar button () to open a popup calendar from which you can click to select a date.
• Status Date: Required. Enter or update the date on which the registration's FINRA Status last was updated. Use the mmddyyyy date format. Or, click the Calendar button () to open a popup calendar from which you can click to select a date.
• Save: Click to commit the values currently entered in the edit fields to the selected producer's record and close the Add/Edit Registration popup window.
• Cancel: Click to exit the Add/Edit Registration popup window without saving changes.

Displays a table listing a selected producer's securities examinations information.

If the producer record does not contain any examination information, the following message will display: "No Records."

Fields and controls include the following:

• Add Exam: Click to open the Add Exam popup window with edit fields in which you can manually record an examination for the selected producer.
• Type: For each examination listed, displays the type of securities examination.
• Status: For each examination listed, displays the status of the securities examination.
• Status Date: For each examination listed, displays the date on which the Status last was updated.
• Added By: For each examination listed, displays the user name of the human or system user that added the examination information to the producer record and the date on which it occurred.
• Updated By: For each examination listed, displays the user name of the human or system user that last modified the examination information on the producer record and the date on which it occurred.
• Actions: For each examination listed, offers the following controls:
  • Edit (): Available with manually recorded state registrations onlyClick to open the selected examination in the separate Edit Exam popup window, where you can update its information.
  • Delete (): Available with manually recorded state registrations only. Click to remove the examination from the selected producer's record. A popup message will open asking you to confirm your decision. Click the Confirm button to proceed, or click the Cancel button to abort the operation.

Popup window offers edit fields in which you can add a new or update an existing securities examination for a selected producer.

Fields and controls include the following:

• Type: Required. View only for edits. From the dropdown menu, select the type of examination.
• Status: Required. From the dropdown menu, select the status of the securities examination.
• Enter a Date: Enter or update the date on which the Status 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.
• Save: Click to commit the values currently entered in the edit fields to the selected producer's record and close the Edit Exam popup window.
• Cancel: Click to exit the Add/Edit Exam popup window without saving changes.

• Return: Click to exit the page and open the selected producer's record in the Review/Update Producer page.