Financial Professionals - McNally Financial

> FINANCIAL PROFESSIONALS

Financial Professionals may choose to be Representatives of McNally Financial Services Corporation, or become an Office of Supervisory Jurisdiction. OSJ’s require registration as a General Securities Principal, FINRA Series #24. Individual representatives are required to have Series #6 or #7 FINRA registration. Texas Insurance licensing is also desirable. Special supervisory arrangements are made to meet the needs of representatives who also have their own RIA. Interested professionals may get started by completing this Submission Form.

Name

Street Address

Street Address (cont)

City

State

Zip

Home Phone

Office Phone

Fax

Preffered method and time of contact.

Current FINRA Licenses
and Designations You
Hold.

S6	S7	S63	S65
S24	CFP	CPA	CLU

Other:

Insurance Licenses by State.

Registered Investment Advisor.

Years of Experience.

Are you currently covered by an employment agreement?

Yes No

Production Mix: (use percentages to add up to 100%)

General Securities	%
Mutual funds	%
Annuities	%
Managed Accounts	%
Insurance	%

Annual Revenue

Fees	$
Commissions	$

Total Assets Under
Management.

Comments

REFERRAL REVENUE SHARING:
Representatives are eligible share in the revenue of new representatives that they refer to McNally Financial Services Corporation. This revenue sharing arrangement does not affect the compensation of the new representative.

COMPENSATION:
Compensation is based upon total commission and fee revenue net of operating costs. This includes all mutual fund and money market trailers, margin interest participation, and any other fees received. Operating costs are generally the ticket and associated costs charged by the clearing entity. Operating costs are passed through without any markup or add on. Commissions are paid once monthly within ten business days of the final settlement date for the preceding month.

INITIAL REGISTRATION COSTS: (Texas only. Call about additional state registrations.)
CRD Registration: $85.00
Fingerprint Processing: $30.25
Texas Registration: $235.00
Total Initial Cost: $350.25