NEWS and ANNOUNCEMENTS
Updated Standards of
The Securities America Financial
Institutions Standards of Conduct
Quickcard for Unlicensed
Employees is a quick reference
for employees who work in
your bank or credit union. It
lists the actions employees
can and cannot do in regard to
your investment program. The
card also plainly states what
understand about the services
you provide and the requirements
for the financial institution. You
can download the quickcard
on Business Center or request
printed copies by contacting
In observation of the upcoming
holidays, Securities America’s
home office will be closed
Christmas Day, Tuesday,
Dec. 25 and New Year’s Day,
Tuesday, Jan. 1.
Staples Discount Now
Available to Advisors
Staples Business Advantage is
Securities America’s preferred
vendor for all the essentials you
need to run your office. Say
goodbye to shopping around.
You’ll always get the lowest overall
delivered price — which means
you’ll have more time to grow and
focus on your business. You’ll
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low negotiated pricing, easy
online ordering and fast, free,
next business day delivery.
Register for your account today.
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Earn TWICE the Cash...
Do you know a full-time financial advisor specializing in
financial planning, asset management or insurance with at
least three years of experience? Do they have a Series 7
license and at least $150,000 in annual GDC or gross asset
management fees? Then you could earn a cash bonus for
simply referring them to Securities America.
Don’t wait to make a referral. For a limited time, we’re
doubling our standard referral bonuses.
You’ll receive 1.5% of trailing 12-month GDC – TWICE our
standard referral bonus – when your referred representative
becomes effective with Securities America.
You’ll receive 1.5% of actual GDC if, after 12 months, your
referral is in good standing with Securities America and has
$150,000 or more in GDC or gross asset management fees.
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This is a limited time only offer.
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4 th QUARTER 2018 | Financial Institutions Newsletter 2