Monday, November 11, 2013

FINRA - Preliminary Renewal Statements (2014)

Dear Advisor:

The registration of and its advisory persons expire on December 31st each year. To maintain the registration of and your Investment Advisor Representative(s), you must pay the required fee by December 13, 2013.

You may have received an email from FINRA that the FINRA-managed systems were updated this past weekend with the 2014 Preliminary Renewal Statements. AdvisorAssist is reviewing these statements this week and will send you instructions for funding this week.

As always, we are here to answer any questions that may arise. Please call us at (617) 800-0388 or email us at if you have any questions.

Best regards,

AdvisorAssist Team
AdvisorAssist RIA Compliance Services
Advisor Support - 617.800.0388, Option 2


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