Waddell & Reed

Dedicated Assistance

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.

Compensation Services

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.

Compliance

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.

Field Operations

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.

Human Resources

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.

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 respond to you quickly and efficiently.

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 and assist with client complaints.

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 rules and specific state rules and regulations.

OSJ Principal

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.

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 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.

Marketing

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.

Professional Development

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.

Get Started
You operate in a fast-paced, sophisticated and highly regulated industry. There are times you need help maneuvering through the more intricate complexities of your job or those time-consuming administrative issues. We're here to support you.