Atria’s WIS Opens Downtown San Jose Office
Firm expands turnkey wealth management program with Silicon Valley location Pasadena, CA — July 29, 2021 — Western International Securities, Inc. (WIS),...
Read More
Frequently Asked Questions About Compliance—Registration
WHO DO I CONTACT REGARDING QUESTIONS ABOUT MY BUSINESS?
Your first point of contact should be your designated supervisor.
If questions are operational in nature, please contact the designated contact person provided on the list of departments.
WHO DO I CONTACT FOR A SELLING AGREEMENT?
Start by checking the WIS Approved Product list to see if the product in question is already approved. If not, contact the Compliance Department to discuss the product prior to ordering the selling agreement. If the agreement has already been sent to WIS, contact Compliance to notify the agreement has been sent.
WHO SHOULD I CONTACT REGARDING A CLIENT COMPLAINT?
Any complaints received should be forwarded to your Branch Manager and to the Compliance Department.
WHERE CAN I FIND INFORMATION ON POLICIES AND PROCEDURES?
Information on policies and procedures cay be located on the WIS website as well as in the WIS Written Supervisory Procedures. Contact your Branch Manager with any questions you may have.
DO I NEED TO DO AN ORDER TICKET FOR MY DIRECT BUSINESS?
While you do not need to do a physical order ticket, you must enter your direct business into the order blotter which can be accessed through www.wisdirect.com/mfva/.
WHERE DO I SEND MY ADVERTISING FOR APPROVAL?
Send your advertising to your OSJ manager for approval. They will follow up with you if they have any questions.
WHAT IS THE TIMELINE FOR MY ADVERTISING TO BE APPROVED?
The timeline is usually the same day or within 24 hours. If the information is extensive it may take more time.
