Attorney Registration Process

The Registration Process

One important step in becoming registered is to successfully complete the Series 7 and Series 63 exams. Completion of these exams and a registration process enables representatives to be fully licensed to carry out transactions for clients and to be compensated for this service.

Logistics

The law firm sets up a separate entity, such as an LLC with a name that indicates the relationship with the law firm. Certain attorneys, including partners and representatives from the estate planning and corporate areas, study for and complete the Series 7 Exam. The Series 7 Exam is the FINRA exam administered to potential FINRA registered representatives. Upon passing the Series 7 Exam, the registered representatives work in the dual capacity of attorney and financial advisor. The firm makes an effort to inform and educate all clients about the new services.

Individuals who are registered with FINRA become representatives of Atlantic Financial's broker dealer, Cantella & Co. Inc. as Series 7, General Securities Representatives. Atlantic Financial Inc. offers securities through Cantella & Co. which clears through National Financial Services Corp.

Atlantic Financial provides a great deal of assistance to attorneys by presenting this new service to their clients. This includes step-by-step coaching, marketing and educational materials, hands-on client assistance upon request, training of support personnel, seminar development and many other services.

Request information about the Attorney Registration Program