Mandatory Reading Prior to Affiliating with the Broker/Dealer & RIA



KSI Minimum Recruiting Standards

Confidential for KSI Advisors & Registered Representatives

The following minimum standards apply for all prospective representatives to join KSI:

  1. Minimum prior annual securities production of $50,000. Must be verified with 1099, W-2, or Form 1040; and
  2. Clean Form U-4 and Disciplinary History
  3. Pass KSI Internal Due Diligence Process ( Approval from our 4 Member Panel)

If the prospect has not generated $50,000 in prior year securities production, or Gross Dealer Concession (GDC) then the following choices apply:

  1. Must join existing OSJ branch to receive training and supervision with 75% payout;
  2. Must participate in the KSI One program with minimum of $1,000 Bond Deposit ( which is refunded in the amount of $1,100 if production levels are met, Pay One Years E & O Insurance Premium in advance upon joining KSI and 75% payout;
  3. Must place all fixed business through KSI Insurance Services platform if they can not verify at least $50,000 in GDC. Must be verified by 1099, W-2, or Form 1040; or
  4. Any combination hereof.

If the prospect has a DRP on their U-4, then review will be performed by KSI Principals to determine if they are eligible for registration with the Firm. A case-by-case review and decision will be made based on particular instances that have been disclosed.