Mandatory Compliance Certification Can Now Be Completed On Your Time, Online

The mandatory compliance certification for A. B. Nicholas’s currently registered agents is now available for completion online, including registration, video training, and the Certification Test.

Current agents who have not registered by April 1, 2019 will not be permitted to refer or receive fees pursuant to any LeverageLine transaction at A. B. Nicholas. We therefore urge all current agents to register as soon as possible. (Future agents will have three business days to complete the certification process).

This process has been mandated by A. B. Nicholas’ licensed lending institution partners to ensure compliance with applicable FINRA regulations for those who refer clients into securities-based credit line programs. We therefore urge all to register and complete the process as soon as possible.

NOTE: The Compliance Test will be down for maintenance until 9AM March 26 EDT. Please bookmark the page when you get to it, and return to complete the test after March 26 at 9AM.

 

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Why Obtain Agent Certification?

Every registered Agent with A. B. Nicholas is required to obtain Compliance Certification to receive fees on any transaction they refer to the A. B. Nicholas LeverageLine program. What does certification do for you otherwise?  Certification gives you legal protection. Your test scores and your certification certificate are kept on file at A. B. Nicholas to prove that you have not only take the training course but passed the exam.

What Makes an A. B. Nicholas Stock Loan Better Than Others?

I’ll get right to the point.  Our rates beat anything you can get from any retail brokerage or bank.  Our loan-to-value is the highest in the market.  There is no change of ownership, nor sale of a single share required for this simple asset-based securities portfolio credit line.  Your loan is entirely, 100% managed by an accomplished FINRA-registered, licensed advisor from the major household-name brokerage/bank that services your loan program. 

Reminder: April 15 for Turning in New Agent Agreement to ABN

April 15 (tax day) is also the deadline for any existing Agent signed to our old agreement to have their new Agent Agreement signed and on file with A. B. Nicholas.  Any pre-existing Agent who has not signed by that date, will be removed from the Agent portal and resources and will need to reapply in the future as a new Agent applicant if they should seek to refer clients

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