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REGISTERED REPRESENTATIVE AND BROKER/DEALER CHANGE REQUEST CONTACT INFORMATION: First Class Mail: Pacific Funds P.O. Box 9768 Providence, RI 029409768 Overnight Delivery: Pacific Funds Attn: Work

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How to fill out registered representative and brokerdealer

01

To fill out a registered representative form, follow these steps:

02

Obtain the registered representative application form from the appropriate regulatory authority.

03

Provide your personal information, such as name, address, contact details, and social security number.

04

Disclose your employment history, education, and any relevant qualifications or certifications.

05

Provide information about your current employer, including their name, address, and contact details.

06

Disclose any disciplinary actions, criminal history, or regulatory sanctions, if applicable.

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Complete the sections related to your professional experience in the financial industry.

08

Attach any supporting documents required, such as a resume or additional certifications.

09

Review the completed form for accuracy and completeness before submitting it.

10

Submit the filled-out form along with any required fees to the appropriate regulatory authority.

11

To fill out a brokerdealer form, follow these steps:

12

Obtain the brokerdealer application form from the appropriate regulatory authority.

13

Provide your personal information, including name, address, contact details, and social security number.

14

Disclose your business structure, ownership, and control information.

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Provide details about your firm's activities, such as the types of securities traded or services offered.

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Disclose any regulatory actions, criminal history, or disciplinary actions against the firm.

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Provide information about your firm's financial condition, including assets, liabilities, and net worth.

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Attach supporting documents, such as audited financial statements or business plans.

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Review the completed form for accuracy and completeness before submitting it.

20

Submit the filled-out form along with any required fees to the appropriate regulatory authority.

Who needs registered representative and brokerdealer?

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Registered representatives and brokerdealers are needed by individuals or firms who want to engage in securities-related activities.

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This includes individuals who want to buy or sell securities on behalf of clients or provide investment advice.

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Registered representatives are commonly employed by brokerage firms or financial advisory companies.

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Brokerdealers are typically businesses engaged in the purchase and sale of securities for their own account or on behalf of others.

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Both registered representatives and brokerdealers need to be licensed and registered with the appropriate regulatory authorities to operate legally.

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Individuals or firms who want to operate in the securities industry and comply with the regulations would need registered representatives and brokerdealers.

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