Our people have the knowledge and experience to assist you with growing and supporting your business. We've also got the right stuff – a positive and caring attitude – that makes working with us a pleasant experience.

Marketing
You can rely on our Marketing Department to provide you with access to quality investment products and services as well as sales support. Our Marketing team is committed to helping ONESCO representatives grow their business. Marketing stands ready to provide support in areas such as case development and product selection, product due diligence, fund company and annuity carrier information, consultative sales support, wholesaler information, recruiting and customized sales training.

Contracting & Licensing
Getting contracted can be as simple as 1, 2, 3. Our dedicated Contracting & Licensing Team will work individually with each representative to ensure a smooth transition to ONESCO. They will guide you through the registration and licensing process of securities, non-proprietary variable appointments and investment advisory registrations.

Throughout your career with ONESCO, Contracting & Licensing will assist you with:

• Additional FINRA exam requests
  
• Study materials for FINRA exams
  
• Regulatory continuing education notification
  
• Investment Adviser state licensing
  
• FINRA & state branch registration
  
• U-4 amendments and disclosure reporting
  
• Outside business activity reporting
  
• Stationery and business cards orders
  
• Address Changes
  

Operations & Trading
Our Operations Department is a highly qualified staff with an average of eight years of securities experience and 85 percent have a FINRA registration. Our Operations staff provides responsive and dependable service in executing and processing your clients’ trades and administrative requests. Operational excellence is our commitment to you. ONESCO Operations will process your transactions in a timely and accurate manner. We utilize industry platforms such as NSCC FundServ, Commission Serv, IPS, and Pershing LLC to assist us with the efficient processing of your transactions.

Compliance
The representative-friendly Compliance team provides assistance and guidance with OSJ and branch supervisory activity, timely training on regulatory and industry matters, assistance with regulatory issues and audits, and guidance on outside business activity. Our firm element continuing education is delivered at our semi-annual regional sales meetings in an interactive environment that covers product, compliance, marketing, and sales practice training.

Technological Support
In today's fast-paced environment, technology can put you ahead of the game by allowing you to do your job more efficiently. That's why ONESCO utilizes a customized back office system in concert with several state of the art industry platforms (FundServ, Commission Serv, Networking, and IPS) to process transactions and commissions. ONESCO is committed to providing the latest in technology services to enhance your business. Enter a trade, access a client’s statement, access our electronic forms catalog or retrieve a research report in seconds with our state of the art technology platforms. Our ON-Net Online system provides you access to online reference manuals, pending business status reports and in-force policy information.