Dedicated Assistance

In addition to the strategic and tactical expertise you will enjoy from our Product and Sales Support Professionals, there are a multitude of additional resources and support teams at your disposal. From your local leadership to the dozens of home office staff members whose number one priority is to help you be more effective, we believe our advisor support is unparalleled in the industry.

It starts with our multi-departmental Financial Advisors Division (FAD). Created expressly to serve you, this division houses our Product and Sales Support Professionals and is also responsible for everything from licensing and transition to office setup and OSJ support. In addition, FAD works in tandem with Brokerage Services, Compliance, Legal, Accounting, Marketing, Information Technology and Human Resources to assist you and your clients. We are acutely aware that the many distractions inherent in your practice can derail you from your priorities − sales and service. We'll help ensure that does not happen.

Transition

The goal of our Premier Transition Program is to ensure a smooth transfer and uninterrupted service for your clients − with no complications. Our Premier Transition Program starts with your Transition Team − which draws on the talents of many Waddell & Reed business units − and is led by dedicated Transition Specialists. Your Transition Specialist is uniquely positioned to foster cross-department communications with key product and service experts and will be your single point of contact to coordinate and deliver necessary resources from within the firm. By providing ongoing support and scheduled communication, your Transition Specialist will be your partner and your guide.

Brokerage Services

We have chosen to partner with Pershing, LLC as our clearing firm. Pershing is the industry's largest global business solutions provider, offering unequaled experience built over seven decades of serving financial organizations like ours. However, while we've selected an industry leader in Pershing, our support doesn't end there. Rather than relinquishing all responsibility, we maintain internal ownership of the process to bring you the best of our in-house capabilities combined with the industry's most reliable and scalable clearing infrastructure. Brokerage Services facilitates account opening, transferring assets, the movement of cash, purchase and sale of general securities, trading of mutual funds and other transactions. Each department within the Brokerage Services Division works on your behalf and is trained and empowered to get you the results you need.

OSJ Principal

We provide you with an OSJ Principal, housed in our Financial Advisors Division, responsible for the overall compliance supervision of your transactions, written correspondence, outside business activities and other items as needed. While your local leadership will have oversight on some issues, most will be centralized in the home office, thereby ensuring consistency, a single focus and dedicated expertise to ensure you are in compliance with changing regulations as well as Waddell & Reed's internal policies. In addition, the FAD OSJ is available to answer questions and give guidance.

Compliance

To protect you and your practice, our Compliance Department ensures that all applicable FINRA, SEC and state regulations, as well as internal policies, are followed. Compliance representatives will conduct on-site audits, review custom marketing materials and inform you of any changes to regulatory firm procedures.

Licensing

Our experienced staff of licensing professionals will expedite the transfer of your registrations using LicenseWaRe, our online repository of data pertinent to the licensing process and generation of your Form U-4. This highly qualified group is uniquely position in the industry to ensure this sensitive process fully complies with ever changing FINRA and specific state rules and regulations.

Legal

As with all corporations, our team of attorneys is responsible, first and foremost, for safeguarding the interests of the firm. They are immersed in the intensely complex nuances of the regulatory system, respond to regulators on your behalf, assist with customer complaints and bring expertise to dozens of other key areas; all the while working diligently to ensure that the firm's interests, and by extension your's, are protected.

IT Resources

Our technical support staff is ready to assist you with complete and thorough support on all applications and services within our technology bundle, as well as popular software applications. Your call will be answered promptly by a friendly, knowledgeable representative who will make every effort to respond to your questions or problems as quickly and efficiently as possible.

Field Servies

This team assists you with the multitude of details inherent in establishing your office, whether inside or outside a division or district location. In addition, they continuously work to establish discount and referral programs to support you in your local area, including real-estate location and acquisition, signage, office equipment and supplies, business cards and stationery, Yellow Pages listing and more. This group is also a valuable resource in responding to questions or issues surrounding your compensation.