Securities Information

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

By default, displays only active registrations per affiliated firm that have not been marked as verified by an external source.

If the producer record does not contain any active registration information, the following message will display: "No Active Records." Note however that the producer record still may contain pending or inactive registrations.

Fields and controls include the following:

• Add/Update/Delete Securities Information: Click to open the Maintain Securities Information page, where you can review and maintain the selected producer's securities registrations and examination information.

• [FirmName]: The name of the firm (broker/dealer) associated with 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."

• 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.

• 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.

• Securities Registration information for this firm is verified by a source outside of Producer Manager: Displays if the producer's securities registration information related to the producer's affiliated firm (broker/dealer) was verified through an external source. Registration details do not display; click the Add/Update/Delete Securities Information link to view them on the Maintain Securities Information page..

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:

• 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.