New and Former Licensed Advisors

Thank you for your Interest in becoming a Fallbrook Advisor.  Here is a brief overview of the process for joining our team:

1. Meeting
We'll have an initial meeting to discuss your business plans, professional experience, and the steps required for registration with Fallbrook.  We'll also discuss the support we provide, the nature of our business relationship, and our fee sharing terms.

2. Preparation
You'll fill out a questionnaire and pre-hire authorization form that will allow us to review your regulatory record and better understand how your skills will fit at Fallbrook. If we agree to move forward, we'll work with you to prepare and submit a licensing application to FINRA.

3. Approval
Once FINRA approves your application, if you were registered within the last 2 years with your Series 79 & 63, these licenses will become active again or you may need to take Continuing Education before you are active.  If you are new to the industry or were registered more than 2 years ago, you will need to take the FINRA Series 79 & 63 exams to qualify for your securities licenses.    We'll also prepare an independent contractor agreement that governs our business relationship.

4. Certification
FINRA will give you a 4 month window to schedule, take and pass the Series 79 & 63 licensing exams.

5. Licensing
Once you've passed your exams and are licensed by FINRA, you can start doing business as a Fallbrook mergers & acquisitions advisor using out independent contractor agreement. 
 

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Please call Wendy Ellen at (818) 657-6106 for more information about joining our firm.