I am responsible for knowing how many APs and principals at my firm previously worked for a Disciplined Firm. How can I obtain that information?
The ‘Firm Profile’ menu on the firm’s ORS Status page includes a link to a screen called, “Disciplined Employee Summary.” This screen will give you the information you need. FCM Members who guarantee IBs can also view combined information for the firm and its guaranteed IBs. However, ORS will not allow you to view information related to firms you are not associated with or do not guarantee, so you should ask a potential guaranteed IB to provide this information before your firm enters into a guarantee agreement.
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