Ceiba-financial-logo-white.png

Simple steps to becoming compliant

STEP 1

STEP 1

We talk over the telephone.  You learn about us and our services and we learn a little about your business and the type of transactions you advise on.

We talk over the telephone.  You learn about us and our services and we learn a little about your business and the type of transactions you advise on.

STEP 2

STEP 2

We email you a packet of information which will include our standard contract and terms for your review. If you wish to proceed you will provide us information so that we may conduct a background check.

We email you a packet of information which will include our standard contract and terms for your review. If you wish to proceed you will provide us information so that we may conduct a background check.

STEP 3

STEP 3

Ceiba representatives will come to your place of business to meet each potential registered representative, answer any questions and discuss on boarding. 

Ceiba representatives will come to your place of business to meet each potential registered representative, answer any questions and discuss on boarding. 

Ceiba representatives will come to your place of business to meet each potential registered representative, answer any questions and discuss on boarding. 

STEP 4

STEP 4

You send Ceiba an executed version of our formal engagement terms and a deposit of first month’s fees. 

agreement icon.png
agreement icon.png

You send Ceiba an executed version of our formal engagement terms and a deposit of first month’s fees. 

STEP 5

STEP 5

Ceiba will upload U-4 forms thus registering each individual.  Ceiba will assist in scheduling any necessary licensing exams.

registration icon.png
registration icon.png

Ceiba will upload U-4 forms thus registering each individual.  Ceiba will assist in scheduling any necessary licensing exams.

STEP 6

STEP 6

Ceiba will coordinate with your IT department in order to install email archiving software.  

IT email software.jpg
IT email software.jpg

Ceiba will coordinate with your IT department in order to install email archiving software.  

STEP 7

STEP 7

We stay in touch and coordinate times to speak in order to discuss current activity and times when our compliance personnel can conduct on site reviews. 

communication icon.png

We stay in touch and coordinate times to speak in order to discuss current activity and times when our compliance personnel can conduct on site reviews. 

communication icon.png

WE FOCUS ON COMPLIANCE

WHILE YOU FOCUS

ON YOUR DEAL

Ceiba-financial-logo-white.png