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CPA's, Lawyers, Insurance Agent

Referral or Solicitor agreements may be appropriate for CPA's, Lawyers, and Insurance Agents, who do not wish to set themselves up as independent advisors or brokers and prefer to outsource the financial services component of their practice. Under this arrangement, CPA, Lawyers, Insurance agent refers client to WallstreetE in return for a percentage of WallstreetE's management fee. The fee may be one-time or ongoing (e.g., 25% of RIA's quarterly fee).

Solicitor does not need to register with the SEC - though certain states may require registration.*
WallstreetE, not the solicitor, has control and responsibility over management of client's portfolio.

For consultation on specific questions or to receive additional information, please email or call our Broker/Advisor Customer Support Team at 1-888-925-5783.

* Certain states may require solicitors to register or notice file as an investment advisor representative. In addition, we recommend you consult with a securities attorney with expertise in this area before making any final decisions about legal issues, such as compliance, registrations, or exemptions.


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