Where can a firm find information on which of its registered persons are not associated with or linked to a registered location?
Firms are able to request a free ad hoc report that will identify the individuals, to date, who remain unlinked. The report, delivered in Excel format via email, includes the individual’s name, CRD number, billing code (if provided) and all open non-registered office of employment addresses. The report does not include individuals for whom the firm has completed the linking. To request this report, send an email to Web CRD. Please include your firm CRD #, your contact information and specify that you are requesting the “Unlinked Registered Representatives Report.
Firms are able to request a free ad hoc report that will identify the individuals, to date, who remain unlinked. The report, delivered in Excel format via email, includes the individual’s name, CRD number, billing code (if provided) and all open non-registered office of employment addresses. The report does not include individuals for whom the firm has completed the linking. To request this report, send an email to Web CRD.
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