Kaplan Financial’s Licensing & Registration Services  team handles back-office processing as a complete solution, literally functioning as a full-service licensing department. In addition, these services can be provided on a project basis, such as mass appointment and termination projects.

We work with more than 200 nationally recognized companies and leverage best practices to increase productivity and speed to market. Since 1987, we have specialized in licensing administration, and set the standard in workflow management. Clients benefit from our detailed industry knowledge, well-defined processes and problem-solving capabilities.

Why use Licensing & Registration Services?

• Reduce compliance exposure
• Increase producer productivity and generate revenue faster
• Reduce state fees and save money
• Decrease the number of state audits

Experience

Kaplan Financial is the nation’s largest National Insurance Producer Registry^SM (NIPR^SM) Authorized Business Partner. Our expert staff can complete producer and field office licensing activities on your behalf, including:

Licensing Services

• New state insurance licenses
• License renewals
• CE enrollment & tracking
• State license amendments
• Duplicate licenses
• Prelicensing enrollment
• Fingerprint filing

Securities Services

• New registrations (Form U4 processing)
• Terminations (Form U5 processing)
• U4 Amendments
• Investment Adviser filings
• NASD exam scheduling
• Firm Element tracking
• Regulatory CE tracking Appointment Services
• New state appointment filings
• Carrier appointment requests
• Terminations & appointment renewals
• Background investigations

Additional Services

• Database cleanup services
• Call center support
• Event notifications
• New hire processing
• Name & address changes
• Workflow analysis

Need more information?

 Additional information about Licensing & Registration Services.

White Paper on Insurance and Securities Compliance Outsourcing