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Investment Professional Application
  1. Our objective at the Retirement Education and Resource Center of North America, Inc. (RERCNA) is transparency of individuals that meet and represent the opinions and guidelines within Positioning 4 Retirement, allowing the reader a basis for selecting a team of professionals.

    By completing and signing this application, it allows RERCNA an opportunity to contact and discuss your professional and personal character as presented in your answers to the questions. You agree to hold Positioning 4 Retirement and its entities and administrators harmless of incident or issues that may arise due to the completion of this application.

  2. Fields marked with * are required.

  3. GEOGRAPHICAL PREFERENCE
  4. What geographical area would you like to represent? Please list general area(s) such as Boston, Cape Cod, western or central Massachusetts, etc...:*
    Please list at least one area you would like to represent.


  5. CONTACT INFORMATION
  6. First name:*
    Please include attorney's full name.
  7. Last name:*
    Please include attorney's full name.
  8. Firm Name:*
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  9. Full business address:*
    Please include business address
  10. Office phone number:*
    Please include office phone number.
  11. Mobile phone number:
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  12. Email address:*
    Please enter a valid email address
  13. Website address:
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  14.  


  1. PROFESSIONAL INFORMATION
  2. licenses
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  3. State(s) licensed: (hold Ctrl+ key to select more than one.)*
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  4. Professional designations
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  5. How many years have you been practicing?*
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  6. If you work for or represent a financial institution (bank, investment company, insurance agency, etc.), what is the name and web address of the institution?
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  7. May we contact the institution to discuss your position with them?
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  8. What investment and/or insurance company(s) do you represent? Please list them:
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  9. If you have a general agent, please list:
  10. If you have a general agent/brokerage firm, please list:
  11. Name of general agent:
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  12. Phone no. of general agent:
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  13. Agency/firm represented by general agent:
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  14.  


  1. FIRM INFORMATION
  2. If you are a member of a firm or agency, how many investment and insurance professionals are there?
  3. Investment professionals:
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  4. Insurance Professionals:
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  5. What is the firm’s CRD number?
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  6. What is the advisor’s CRD number?
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  7. If other investment professionals in your firm, do the other investment professionals review your work and do you review theirs?
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  8. How many of the following are in your firm?
  9. Attorneys:
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  10. CPAs:
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  11. Insurance Professionals:
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  12. Investment Professionals:
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  13. ONGOING EDUCATION AND LEVELS OF ACHIEVEMENT
  14. What professional designations does the agent have?
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  15. If other, please list:
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  16. List continuing education courses taken in the past 3 years. Include courses that do not offer CE credits. Include, course title, instructor, organization offering course, and a brief description.
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  17. PRODUCT REPRESENTATION AND FOCUS
  18. What products do you represent and what dollar volume and percentage of the product make up your book of business? (ex. stocks, bond, mutual funds, etc... list each product on it's own line, e.g. Stocks | $20,000,000 | 40%)
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  19. Please explain any programs you offer that may be unique.
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  20. INSURANCE PRODUCT REPRESENTATION AND FOCUS
  21. Please breakdown each line of insurance you represent by volume. (For example: Life Insurance: Term 10%, UL 90 %, Whole 0%; Annuities: Deferred 50%, Indexed 20%, Immediate 30%, Variable 0%.)
  22. Life Insurance
  23. % Term
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  24. % UL
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  25. % Whole Life
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  26. Disability
  27. % Short-term
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  28. % Mid-term
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  29. % Long-term
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  30. Life Insurance
  31. % Comprehensive/Stand-alone
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  32. % In-home Care
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  33. % Skilled Care
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  34. Annuities
  35. % Immediate
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  36. % Fixed Index
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  37. % Fixed Deferred
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  38. % Variable
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  39. COMPENSATION
  40. How much of your compensation comes from each category? The two should add to 100%.
  41. % Fee
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  42. % Commission
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  43. Please list your services and fees:
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  44.  


  1. TEAM MEMBERS
  2. Do you currently have an organized team of professionals?
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  3. It is not necessary for you to have an assembled team; however, if you have a team or a partial team, we would like to know.
  4. Please provide us a list of any professionals on your team and include their area of expertise (attorney, CPA, investment advisor, or insurance advisor), their website url, and whether or not they have applied to P4R (if known.)
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  5. Additional Comments
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  6. DISCLAIMER
  7. It is RERCNA’s objective to seek transparency within the individuals that meet and represent the opinions and guidelines within the book, Positioning 4 Retirement, allowing the reader a basis for selecting a team of professionals.

    By checking the agreement below, you allow RERCNA to contact and discuss your professional and personal character as presented in your answers to the above questions. You also agree to hold RERCNA, its affiliates, website partners, publication partners, and other team members harmless from and against any loss, incidental, special or consequential damage, liability, cost, or expense for any negligent or wrongful act or omission or misrepresentation by RERCNA relating to the information from this application or any of its links including, without limitation, reasonable attorney’s fees.
  8. Checking the box below constitutes an electronic signature:*
    You must verify that you agree to the terms and conditions by checking this box to proceed.

Copyright © 2015 Retirement Education Resource Center of North America, Inc. All Rights Reserved.