Changing Registered Representative of Record (non-Brokerage accounts)

Requirements to change the registered representative (RR) of record on an account where ONESCO is the current broker/dealer of record include:

• ONESCO must have a valid selling agreement with the product sponsor. Please see products and services for a listing of product sponsors.
• RR must be properly appointed to sell the product and licensed in the client’s state of residency (where applicable).
• Client and RR must complete the ONESCO-30. The client, RR, and an ONESCO principal must sign.
  
  ONESCO 1 & ONESCO-30 must be completed if a current ONESCO customer wishes to switch RRs or the account is reassigned due to a terminated registration. The home office, or supervising OSJ if applicable, must authorize and process the change.

Once all of the requirements have been met, the home office or supervising OSJ will mail the requested change to the product sponsor for completion.