Announcements
As our highly anticipated conference approaches, we want to ensure that you’re all set to join us for what promises to be an enriching and memorable event! If you haven’t already done so, we kindly remind you to register for the conference as soon as possible. The hotel room block will be closing on March 30th, so be sure to book your room before then.
In addition to our comprehensive agenda filled with insightful sessions and networking opportunities, we’re thrilled to announce a few unofficial additions that are sure to enhance your conference experience:
- Saturday Night Live Music: Our very own Jeremy Laub, will be playing on Saturday night at The Stillery (130 S Arizona Ave, Chandler, AZ 85225). For those of you arriving a day early, please feel free to stop by.
- Tuesday Morning Hike: Start your day on a refreshing note! Throw on your tennis shoes and join us for a quick and easy hike up “A” Mountain behind Sun Devil Stadium. We will be meeting in the lobby at 6:00am.
Don’t miss out on this exceptional opportunity to learn, network, and have a great time with industry colleagues. Register now using the links below!
Compliance Reminders
Mutual Fund Accounts
We are on board with Cambridge’s decision to allow you, our Financial Professionals, to submit direct mutual fund account paperwork to the sponsor company prior to principal approval in CLIC. We feel this new policy can improve the account establishment time, and funding of the account for your clients. If you want to implement this new process in your office, please remember CLIC submission and principal approval is needed before commissions can be paid out.
What to remember:
- FP may forward direct mutual fund paperwork and funding to sponsor company after CLIC submission is completed.
- Paperwork will be reviewed by OSJ as normal so always remember to check your CLIC Trade Summary queue daily.
- The policy does not pertain to 529 plan accounts or any other sponsor products.
- This policy can be revoked if proper instructions are not followed by an office.
Upcoming Events
WebCapture Early Adopters Webinar | April 5th at 1:00 pm CT | Email Hannah for more info
PJ Advisor Group Annual Enterprise Meeting | April 21-24, 2024 | Tempe, AZ- Official Registration Link Now Available —> REGISTER HERE
Cambridge Accelerate | May 6-8, 2024 | Scottsdale, AZ
*We highly recommend sending your administrative staff to this!
2024 Ignite Cambridge | August 20-23 | Gaylord Rockies Resort | Aurora, CO
Cambridge Virtual Events – For information on Cambridge’s virtual webinars, please visit this link.
Helpful Resources
- Disclosure Checklist – Click here
- Required Disclosure Table – Click here
- Terminating a Client – Guide and Sample Letters
- Vulnerable Client Documentation Process – Click here
- Diminished Capacity Documentation Process – Click here
- Vulnerable Client Intake Form – Click here
Just a reminder that all of these helpful resources and more, can be found on the PJ website under Advisor Login. Call our office if you forgot the password.