Requirements for Employment

As part of our background review process, Empire Financial Group, Inc will look at the individual's CRD record, credit report, criminal history, driver’s license record, and employment verification. Once all this information is obtained, we will submit it to our hiring review committee for approval. Please keep in mind this process usually takes a minimum of 2 weeks. Additionally, EFG reserves the right to perform any further due diligence. EFG will walk you through every step of the process to assure a smooth transition of your license.

FINRA (www.finra.org) / CRD Registration
Your transfer to Empire Financial Group, Inc. should be smooth and easy. The following are steps required in order to transfer your FINRA (www.finra.org) licenses to EFGI.

• Your background check will be reviewed by the hiring review committee. Following approval of your background review, we will contact you via email with instructions on how to update your U-4 information online
  
  
• Before your U-4 is submitted to the FINRA (www.finra.org), you will want to submit your resignation letter to your current broker dealer, if applicable, and fax a copy to EFG for our records
  
  
• After you have completed this information, it will be reviewed by the registrations supervisor and then submitted to the FINRA (www.finra.org).
  
  
• If you have no contract with your existing Broker-Dealer, no prior complaints, and are currently registered in good standing, you may be eligible for a One Day Clearance, if you meet all requirements.
  
  
• If you have a contract with your existing broker- dealer, please disclose this immediately to EFG and forward a copy of the agreement to the home office. The contract may contain provisions that require special treatment. Make sure that you discuss this issue with EFG's licensing department in advance, in order to avoid complications in registration.
  
  
• If you have had prior complaints or disciplinary action, please disclose in advance to EFG. This disclosure will make it easier for us to process your application materials, which in most cases, must contain reference to these matters.

Establishing Registered Representative Status

Empire Financial Group, Inc, does sponsor candidates who would like to become registered representatives provided that they:

• Remain with EFG, once licensed.
• Engage in the Securities Industry on a full-time basis.
• Are willing to be supervised by another EFG representative.
• Pay all licensing and application fees
  

How long does it take to transfer a license

EFG uses the FINRA (www.finra.org)'s CRD system to transfer your license. After your U-4 has been submitted to the FINRA (www.finra.org), this system can clear a Registered Representative to do business between 24 to 48 hours.

In addition to the above regulatory processes, you are also required to:

• Submit a Letter of resignation to your previous broker/dealer, if applicable
• Submit a U-5
• Submit a Independent Broker Confidential Profile
• Submit a "Monthly Compliance Report(s)" (provided by EFG)
• Review and acknowledge EFG procedures periodically as required by regulations
• Maintain your own procedures
• Maintain and Keep accurate books and records
• Comply with all rules and regulations of the FINRA (www.finra.org), SEC, and other governing/regulatory bodies as applicable.

If you're interested in becoming a member of Empire Financial Group's experienced team of Investment professionals, please contact us at 407-774-1300 or joinus@empirenow.com.

If you are a retail investor seeking account information or other help in connection with your brokerage account, please contact your investment professional or introducing financial organization for assistance. You may find the contact information for your investment professional or introducing financial organization on your monthly statement. This website is targeted towards financial institutions and does not contain account information or transactional services