Waddell & Reed

Transferring Your License(s)

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 positioned in the industry to ensure this sensitive process fully complies with ever-changing FINRA and specific state rules and regulations.

Establishing a Waddell & Reed Advisor Number

Transferring FINRA Licenses

  • Expedited processing
  • LicenseWaRe kit
  • Financial Advisor Agreement
  • Execution of Form U-4

Transferring Insurance Licenses

  • Automatic appointment with strategic partners
  • Long-term care and Medicare Supplement licenses
  • Life, disability, and fixed-annuities licenses
  • Individual and group health/dental licenses

Licensing Fees

  • Initial fees paid in resident state
  • Renewal fees reimbursement