NON-OSJ Office

When Joining Brookstone Securities, Inc. the following list of tasks are required prior to conducting business:

  1. Insure that you have signed and sent the following items to Brookstone Securities, Inc. See Brookstone Securities web site for documents.
    1. Affiliate Agreement
    2. Schedule A of affiliate agreement if a registered investment advisor
    3. Schedule B of Affiliate agreement
    4. Schedule C of Affiliate agreement
    5. ACH form for payment of commissions
    6. Credit card authorization
    7. FINRA Fingerprint cards
    8. Page 41 of Brookstone Securities Compliance Manual
    9. Pages 274 and 275 of Brookstone Securities Written Supervisory Procedures
    10. Page 170 of RIA Policies and Procedures Manual if a registered investment advisor
  2. Prior to conducting any business make sure you are licensed in the states you conduct business in both for securities and insurance products and that you have been appointed to the companies you transact business with.
  3. Any Building, Door or Office signage must be approved by the Compliance Department. Every office must have at a minimum the signage shown on the Brookstone Securities web site under NON-OSJ office examples
  4. Have Letterhead and other stationary approved by the Compliance Department. See examples on Brookstone web site under the NON-OSJ office examples.
  5. Have Business Cards approved by the Compliance Department. See examples on Brookstone web site under the NON-OSJ office examples.
  6. Make sure that you and any associates have Brookstone Securities email accounts. Insure that you add the email disclosure to your email.
  7. See Brookstone Securities web site for list of required books and records required to be maintained by your office.