The Compliance Team is here to help ensure that your firm (and Kingswood) are in compliance with all industry rules and regulations. Here are just a few of the many areas in which we work with you:
Marketing Material Review
Third Party Partnerships
We work with several third-party vendors to help your back office run smoothly. If you have questions about any of them and how they can help your firm, please contact the operations team.
Company: FINRA Financial Professional Gateway (FINPRO)
Service Provided: Website where you can review your U4s, check the status of your CE and other relevant FINRA info
Log-in Page: https://ews.finra.org/auth/logon?realm=ews&goto=https://finpro.finra.org:443//
Who to Contact for Help: FINRA at (240) 386-4040
How to Access: Create a log-in from the log-in page above
Company: Quest CE
Service Provided: This secure, user-friendly platform offers a variety of retail
continuing education courses for licensed professionals as well as e-commerce
compliance training and tracking programs for member firms.
Log-in Page: https://learn.questce.com/
Who to Contact for Help: Quest CE. Please contact Joellyn Jones at firstname.lastname@example.org
How to Access: Kingswood establishes access after you are onboarded