Rep Transition Process
5 Steps to Become a KCD Representative
Guiding You Into a Successful Future
Our values permeate through every aspect of our work, including our transition process. Much like how we allow established representatives to execute their business on their own terms, our transitioning reps can set their own pace for the process while we support them in transitioning their clients and complying with FINRA requirements.
When you become a KCD representative, you can expect:
We’ll start your transition process with an initial high-level meeting to review your goals and discuss how KCD can best support you. We’ll discuss the contents of our standard representative agreement, payout percentages, and other details that will impact you and your business’ success.
Next, we’ll iron out any outstanding details and perform a comprehensive background check. This check consists of a FINRA review and fingerprinting, a credit check, and a criminal record check.
Once the background check is completed, we’ll provide you with our hiring paperwork and collect the onboarding fees necessary to get you up and running as a KCD representative.
FINRA U4 & State Registration
Then, we’ll help you obtain the proper registrations so you can begin working under KCD in your jurisdiction. The FINRA U4 is a form that representatives of broker-dealers, investment advisers, or issuers of securities must use.
Finally, you’ll receive access to KCD systems such as our CRM, ClearingHouse, and E&O Insurance. Once you complete our forms and CRM orientations, you’ll have our continued support and guidance on repapering clients to finalize the process!
Become a KCD Representative
No matter what journey brings you to KCD, we’re here to guide you.