Prosperity Practice Library
Prosperity Practice Library
In the true spirit of networking and sharing, we are happy to provide you with the following resources that may help support your practice. Many of these tools were developed by Prosperity Advisory Group with practical application within Paul Ewing’s private client-facing practice and range from client materials to resources for the management of your business.
We are pleased to leverage our member network through our online Practice Library. The Practice Library resources are ever changing as documents are updated and added frequently.
Please remember to submit materials for Ad Review and approval prior to use with clients.
If you have materials you would like to share within the toolbox, please let us know.
Practice Management
COMPLIANCE RESOURCES
- Ad Review - Approved with Changes
- Albridge Disclosures
- Annuities and Death Claims
- Client Complaint Handling White Paper
- Creating a C Share Report in Albridge
- Direct Business Submission and Trade Review Tool Policies
- Documenting Hold and Investment Strategy Recommendations
- Exchange Disclosure Form Grid
- EIA Supervision Review Procedures and Suitability Considerations
- Form Completion Examples
- LinkedIn White Paper
- Permissible Activities: NRA vs. RA
- PinPoint Blotter Tips and Tricks
- Procedures for Annuity Submission Via Email
- Regulation Best Interest (Reg BI)
- Reporting Regulatory Requirements
- Secure Email White Paper
- Solicited vs. Unsolicited Trading
- State Registration and Death Claims
- Tips for a Smoother Audit
- Updating Disclosures on Your U4
OPERATIONS RESOURCES
- Adding Adviceworks to a Mobile Device
- AdvicePay Submission Job Aid
- Adviceworks Advance Data Gathering Checklist
- Brokerage Operations Cutoff Times & SLAs
- Business Submission Guide
- Docupace Job Aids
- Firing a Client
- How to Submit Rep Number Change Requests
- How to Run an Account Report in SW
- Managing Abandoned Property
- NIGO Correction Requirements White Paper
- Process for Compliance Based Forms
- Process for Client Name Changes
- Signature Guarantee White Paper
- Submitting Physical Stock Certificates for Deposit into a Pershing Account
- Who to Contact
Business Development
HUMAN RESOURCES RESOURCES
- Job Descriptions
- Hiring
- Performance Reviews
Client Relationship
CYBERSECURITY RESOURCES
- What To Do If ... Email Hack
- What To Do If ... Credit Card Fraud
- What To Do If ... Data Breach