In addition to the strategic and tactical expertise that our product and sales
support professionals provide, a variety of other resources and
support teams are at your disposal. From your local leadership to the hundreds 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.
Your compensation issues will be quickly and comprehensively addressed by our
Compensation Services group, a liaison between home office and field managers.
Compensation Services will help your manager answer your questions about
pending commissions, commission payout errors, commission payout rates,
incentive volume credit, incentive program qualification and status, and more.
Our Compliance department is tasked with ensuring that Waddell & Reed conducts
its business in a manner that complies with FINRA, the SEC and state regulations,
and all internal compliance policies. Compliance representatives conduct on-site
audits, review custom marketing materials and inform you of any changes to
regulatory or firm procedures.
This team assists you with the multitude of details inherent in establishing your
office outside a division or district location. 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 listings and more.
Waddell & Reed’s Human Resources team is your partner and trusted knowledge
expert for benefits-related questions. Whether you’re establishing benefits as
a new advisor or have questions throughout your career, you can rely on the
expertise of Human 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 respond to you quickly and efficiently.
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 and assist
with client complaints.
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 rules and specific state rules and regulations.
We provide you with an OSJ Principal, housed in our Financial Advisors Division
(FAD), who is responsible for the overall supervision of your transactions, written
correspondence, outside business activities, logs, blotters and other items as
needed. This internal supervisory department is called FAD OSJ and is your
primary supervisor of record. However, to best support your business, your local
leadership will have general oversight and work in tandem with FAD OSJ to provide
consistency, immediate support and a single focus. The dedicated expertise that
FAD OSJ provides will ensure you are in compliance with changing regulations and
Waddell & Reed’s internal policies.
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 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 Specialist will be
your partner and your guide.
When it comes to marketing your business, you not only have results-oriented
programs and a library of professionally produced materials to choose from, you
also have the support of a dedicated Marketing team. A solution is generally close
at hand, questions readily addressed, and suggestions welcomed through our
marketing and inventory mailboxes and phone line. The Marketing team’s talented
and creative graphic artists, writers and strategists share a common goal to help
you engage and persuade your audience.
Our experienced Professional Development team offers a full range of resultsfocused
professional development resources to assist in building knowledge, skills
and confidence. Subject matter experts from every area contribute to assure you
have relevant and timely information. Our resources will help you gain the professional
acumen you need to maximize your success.