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
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 the human resources group.

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 as quickly and efficiently as possible.

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. A team of OSJ (office of supervisory jurisdiction) principals rounds out Waddell & Reed’s Legal department.

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.

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 results-focused 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.