Affiliation Options

Registered Representative

You can become licensed as a Registered Representative with the Financial Industry Regulatory Authority (FINRA) to offer commission-based products such as mutual funds, stocks, bonds and unit investment trusts.

Licensing and Registration Options*

• Series 6 and 63

  The Investment Company Representative License and Uniform Securities Agent State Law Exam allow you to provide mutual funds and unit investment trusts to your clients.

• Series 7 and 63 or 66

  The General Securities Representative license and Uniform Securities Agent State Law Exam or Uniform Combined State Law Exam allows you to provide mutual funds, unit investment trusts, bonds and individual securities.

  *The 63 or 66 is not required in all states. Some states require a principal license (Series 24) in addition to representative licensing.

Fee Planning

This affiliation is designed for professionals who want to focus on hourly planning, producing financial plans and implementing through fee-based managed accounts.

Licensing and Registration Options

• Register as an Investment Advisory Representative under the H.D. Vest Advisory Services^SM Registered Investment Advisor. State-specific regulations require that you obtain the Series 65 (Uniform Investment Advisor) or Series 7 and 66 licenses and/or hold a CFP^®, ChFC, PFS, CFA or CIC designation.

To either Registered Representative or Fee Planning you can add:

• Partners Program

  The Partners Program is a turn-key revenue generating solution for busy tax and accounting professionals who recognize the value of offering financial services, but do not have the time to implement the services themselves. By partnering with an H.D. Vest colleague who devotes their time to financial services, you experience the benefits of adding financial services to your tax practice.

• Banking Services Program

  Created exclusively by H.D. Vest, this program is offered through our partnership with Wells Fargo. You have access to consumer and business banking services from Wells Fargo Bank, N.A. Wells Fargo also offers a home mortgage program and compensation for those who are properly mortgage licensed.

Our Compensation

H.D. Vest offers one of the most competitive compensation schedules in the industry, ranging from 50 to 89 percent of gross commissions and fees.

Commissions are earned on sales of solutions to clients. Solutions include mutual funds, stocks, bonds, unit investment trusts, insurance and annuities – the vehicle you use to make an investment for your client.

Fees are earned on advice provided to clients. Advice includes hourly planning, comprehensive financial planning and fee-based asset management.

H.D. Vest doesn’t get paid until you are successful.

Complete a licensing application

For more information on our Affiliation and Compensation Options, call 800.742.7950.