Financial Consultant – Independent - IPI in San Antonio Texas
PHASE 1 | STARTUP
Phase 1 is the launch point for the hiring process. Section 1.1 will require you to download documents, review and save for your records. You will find all forms that require your signature and must be returned to IPI in the last section of this site.
1.1 | Download and Read the Following:
PHASE 2 | COMPLIANCE
Phase 2 includes completing your U4 and fingerprints. Both of the steps are 100% electronic. Below you will find instructions on completing each. You will find all forms that require your signature and must be returned to IPI in the last section of this site.
2.1 | ONLINE U4
- Email IPI Compliance at email@example.com, in your email please ask for your reference number to your online U4.
- Once Compliance has sent your access information, use the below link to access the site https://filing.crd.finra.org/crdmain/
- Accept FINRA terms
- It will then ask you for a reference number, please provide the following the password given to you by the IPI Compliance Team.
- When you are finished completing the online U4, click on the Completeness Check. This will tell you if anything is missing. NOTE: It may say “start date and appropriate signature required”. This portion is for IPI to complete. You will want to write down your CRD number during this process as you will need it to complete other phases of the hiring process.
- Once the Completeness Check is passed successfully, click Submit to Firm.
- The IPI Compliance Team will review and contact you for further instructions.
2.2 | FINGERPRINTS
Below you will find a web link and an access code. Please click on the link to begin the process. Once you have entered the website, follow the instructions below. You will find all forms that require your signature and must be returned to IPI in the last section of this site.
If you do not have a location close enough to have electronic fingerprints done, please contact Maribel Perez at (210) 582-2827 and request paper fingerprint cards.
WEBSITE LINK | BrokerFP
FIELDPRINT CODE | FPInvestmentProAP
- Enter your email address under the “New User / Sign Up” section and click on “Sign Up”.
- Create a password and security question.
- Enter the above Fieldprint code.
- Provide your contact and address information.
- Provide your demographic information.
- Provide your employer information.
- Enter your address to find a location near you.
- Choose a location and click “Request Appointment” to begin the scheduling process.
- Enter 3 appointment preferences and click on continue.
- Enter your payment information.
- Print instructions, directions, maps and/or photos as needed.
PHASE 3 | HUMAN RESOURCES
Phase 3 includes your Human Resources paperwork. Section 3.1 is your IPI Employee Handbook. You will find all forms that require your signature and must be returned to IPI in the last section of this site.
*Please note the listed addendum to the handbook if you are located in Pennsylvania or New York.
3.1 | Download and Read the Following:
PHASE 4 | PAPERWORK TO RETURN TO IPI
Please click on the links below to print out the required paperwork. Kindly complete all forms and return them with your signed contract via the UPS label that accompanied your new hire mail. Should any questions arise, please contact Maribel Perez at (210) 582-2827. Once again, welcome to IPI!
Please feel free to contact us if you have any questions. We look forward to hearing from you soon!
Phase 2 | Compliance
Direct | (210) 582-2818
Fax | (866) 298-3511
Phase 3 | Handbook & Paperwork
Direct | (210) 582-2827
Fax | (877) 417-0516