Licensing & Registration

The Registration and Licensing Department is here to help process and maintain your FINRA Securities
and Investment Advisory registrations while affiliated with United Planners'. The Department is the direct
liaison to FINRA and its WebCRD system and can assist with all matters related to Regulatory Continuing Education and any Form U4 updates including, state requests, exam requests, address changes as well
as year end FINRA and state registration renewals. The department staff is available to help with fingerprinting (must be in person) and all related office personnel requirements. They will also assist representatives with
their insurance licensing and appointment processing for variable life and annuity products. To become an
affiliate with United Planners' please submit a Pre-Registration Questionnaire to Partner Development.


The questionnaire provides UP a comprehensive overview of your background and the types of business that
you may be engaging in. The Pre-Registration Consent Form gives us authorization to review your CRD history
and credit report. Once the background review has been completed and approved by the Compliance Department,
a registration kit along with the required Reference Number to access the WebCRD System, and instructions
on how to fill out the electronic U4 will be forwarded to you move forward the affiliation process.