Registration & Licensing

The Registration and Licensing Department is here to help process and maintain your Securities, insurance, and Investment Advisory registration with us. Registration and licensing may also assist you in scheduling an appointment to take an examination, get fingerprinted and renew state registrations. To become an affiliated with United Planners' (UP) please submit a Pre-Registration Questionnaire to Partner Development.

 

The questionnaire provides UP with 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 (and we have an understanding of your business model and Outside Business Activities), we will send a complete registration kit to you. Along with that kit will be the required Reference Number to access the WebCRD System, and instructions on how to fill out the electronic U-4 in order to finalize the affiliation process.