Monday, November 16, 2015

2016 Renewal Fees

We are approaching the renewal period for the registrations of your firm. The registrations for your firm and your investment advisory representative(s) ("IARs") expire on December 31st of each year.

AdvisorAssist will be helping you through this process. This email is an initial notice of the coming process.

If the firm or any IAR(s) no longer conduct business in a state in which you are registered or notice filed, we can update your account before your renewal statements are generated by FINRA. Please alert us in reply of any such changes or, if you can provide a report of client totals by state, we can assist with this analysis.

On Monday, November 16, 2015, FINRA will begin emailing Preliminary Renewal Statements to all firms. AdvisorAssist will review your account registrations in detail and validate the fees calculated by FINRA. AdvisorAssist will download the statements from your FINRA account and manage this process on your behalf.

To maintain the registration of AdvisorAssist, LLC and your IAR(s), you must pay the required fee by December 18, 2015 by crediting your FINRA Renewal Account.

You may have also received notice directly from certain states. These are generally reminders only. The official process will flow through the FINRA system.

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.


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