This section of our website is dedicated to you, the independent investment professional. Our objective is to update this site regularly with important news and information that will help keep you informed and provide you with instant access to many of your back office needs. If you have ideas or suggestions for the content provided, please send us an email or give us a call.
1. Client Management
NEW!! We are proud to offer you this new tool to help you manage your business. Through this portal, you can view client lists, track your production, view posted commissions, and pre-fill and print forms from the web. Click here to log in!
2. Continuing Education
Why wait until the end of the year to fulfill your firm element training requirements? Click here for a list of online self study courses available from
NASDR or here for other online options. These are inexpensive, can be completed according to your schedule, and will satisfy ISC’s annual requirements (unless you specifically hear otherwise from us).
3. Links
The following website links are commonly used resources for ISC staff. We hope these can benefit you as well. While we believe the information contained in these web pages to be accurate, we do not control the content provided and therefore cannot assure the validity of what you find. If you have your own favorite resources for information, please let us know so that we can add them to the list.
4.
Advisory Account Access
Click here to view your investment advisory accounts consolidated performance reports, trade activity, etc.
5. FAQs
- Q. When are 1099-Misc’s forms mailed to the reps? A. the postmark deadline is Jan 31st of each year. We try to get them mailed as soon as the data is confirmed.
- Q. When are commission checks sent out? A. According to our commission agreement, the checks are due out by the first of the month following receipt of the commissions by ISC. We usually have the checks or ACH payments made by the last business day of the month. The back up sheet is either e-mailed or mailed.
- Q. I need copies of a fund’s prospectus. A.
The best place to start is the internet site for the fund company. Another good place to start is with the fund company’s internal wholesaler.
- Q. What is the difference between a “solicited” or “unsolicited” transaction? A. Solicited is defined as “to approach with a request or plea”. Unsolicited is defined as “the opposite of solicited”. A solicited transaction is one where the rep researched or advised the client on making the trade. Unsolicited is where the client without consulting with the rep requests that a certain transaction be placed. For example a client that calls up and requests 500 shares of Coca-Cola at the market and the rep has never suggested that the client make this transaction prior to this conversation.
- Q. Does ISC have a rep recruitment program? A. Yes we do. We have grown the firm primarily through word of mouth and referrals from all of you. We don’t go out and license just anyone – we want to maintain a rep base that has industry experience, runs a professional and ethical practice, and wants to work full-time in financial services. We have a program to pay you for referrals of reps like this if you help us bring them to ISC! Please ask Terry or Scott for details.
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