Waddell & Reed

Trusted, 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
Compensation Services group, a liaison between home office and field managers 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 provides resources to help you conduct your securities business in a manner that maintains your reputation and licenses. Experienced compliance professionals review and approve your retail communications, resolve client complaints and advise you in person during compliance on-site branch office audits.

Field Operations
This team assists you with setting up an office outside a division or district location. They 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, and more.

Human Resources
Our 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.

IT Service Desk
Our technical support staff is ready to assist you with thorough support on all applications and services within our technology bundle.

Legal
Our team of attorneys is responsible, first and foremost, for safeguarding the interests of the firm and providing legal guidance to management. They are immersed in the intensely complex nuances of the regulatory system and often respond to regulators on your behalf. The Legal Department also responds to subpoenas and other legal processes on behalf of the firm.

Licensing
Our experienced staff of licensing professionals will assist you with the licensing and annual license renewal processes using our online repository of data. This highly qualified group is uniquely positioned 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 an OSJ Principal who is responsible for the overall supervision of your transactions, written correspondence, outside business activities, logs, blotters and other items as needed. However, to best support your business, your local leadership will have general oversight and work in tandem with our internal supervisory department (FAD OSJ) to provide consistency, immediate support and a single focus. FAD OSJ will ensure you are in compliance with changing regulations and Waddell & Reed’s internal policies.

Marketing
Market your business with results-oriented programs, a library of professionally produced materials and 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 Professional Development team offers a full range of results-focused professional development resources to assist in building knowledge, skills and confidence. Subject matter experts assure you have relevant and timely information.