Joining HD VEST

Contact a Business Development Consultant directly via telephone at (800) 742-7950 or via email at



As a CPA or tax and accounting professional, you may already be providing advice to your clients, but you’re not getting paid for that advice. Just as the IRS requires licenses for tax preparation, the SEC and FINRA require the same regulatory measures for financial advisors. For this reason, you can’t receive compensation for any advice related to securities without the appropriate securities registrations.

At HD Vest, we provide the support, training and education programs you need to obtain your FINRA securities registrations without major interruptions to your business:

Step 1: Contact a Business Development Consultant at (800) 742-7950 or to determine which services you’d like to offer:

  • Registered Representative
    Our skilled Business Development Consultants can explain the appropriate securities licensing required to offer specific investment products. As a registered representative you can offer commission-based products determined by your license.
  • Investment Adviser Representative
    Complement the Registered Representative activities listed above with investment fee and asset management plans on a fee basis.

Step 2: Complete the necessary paperwork:

Once you have determined the appropriate affiliation, your Business Development Consultant will help you complete paperwork needed to register with FINRA. This paperwork will include completion of the following items:

  • Licensing application
  • Electronic submission of fingerprints

Step 3: Schedule your exams:

Before you can sit for an exam you must be sponsored by a broker/dealer like HD Vest. We not only help you identify the appropriate tests and testing center, but also provide you with access to study materials to help ensure you pass the test on the first try. As you begin studying for your exams, we’ll walk alongside you every step of the way as you complete this last step in attaining your designation.


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Transferring your existing book of business and ensuring your clients remain with you is always an area of concern for many transferring advisors. Providing a seamless transition and working with our transferring advisors is a priority across the teams at our firm. We have experience managing many different types of practices through the transition process and will work closely with you to ensure you have limited down time between firms.

Once you have “onboarded,” our Wealth Management Support team steps in to assist in getting you up to speed on the appropriate tools, events and products you need to keep your practice running…and growing.


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