What?

When you access a contact record in Redtail, you'll notice new menu items underneath Contacts in your left menu bar.

 

The Licenses section shows a list of any licenses the contact has. It is primarily used when the contact is an advisor, and you want to include details about them, including their firm, appointments, or FINRA history. Be sure if your firm chooses to utilize this feature you proactively update it.

How?

While within a contact record, your left side menu will expand with new available sections for that record. Click the "More..." link to expand the menu completely. Select the "Licenses" option from the left side menu. The Licenses page will show any licenses and histories the contact has. See an example of the page below.

 

 

Open image in a new tab to enlarge.

 

 

Using the Licenses Page

• The Licenses Overview page is divided into five separate sections. Each one may be contributed or edited in much of the same way.

 

 

Advisor Licenses

• Any financial advisory licenses the contact has are added here.
  • Click the "Add" button to open the Add License modal.
    
    
  • From the License Type dropdown, select one of the following licenses: RIA or Series 24, 26, 6, 63, 65, 66, or 7.
    
    
  • Select the "Create License" button to add it.
    
    
• Use the action dropdown menu to the left of any added license and select "Delete" to remove the license from the contact record.

 

 

Advisor Details

• Add or edit any details specifically pertaining to the advisor in this section.
  • Click the "Edit" button to open the Update Advisor Details modal.
    
    
  • Add any information about the advisor here.
    
    
  • Select the "Update Advisor Details" button to confirm.

 

 

Firm History

• Add general details about the advisor's firm in this section.
  • Click the "Add" button to open the Add Firm History modal.
    
    
  • Use the Status dropdown to select the current state the firm is in: Active, Pending, Pending Term, Terminated, or Withdrawn.
    
    
  • Select a Start Date and (should it apply) End Date for firm's history.
    
    
  • Click the "Create Firm History" button to confirm your selections.
    
    
• Use the action dropdown menu to the left of any firm histories and select "Edit" to make changes or "Delete" to remove the firm history.

 

 

 

FINRA History

• Add any licensing history the advisor has had with FINRA.
  • Click the "Add" button to open the Add FINRA History modal.
    
    
  • Add any information from the provided dropdowns and blank fields.
    
    
  • Select the "Create Finra History" button to confirm.
    
    
• Use the action dropdown menu to the left of any FINRA histories and select "Edit" to make changes or "Delete" to remove the FINRA history.

 

 

Appointments

• Add any appointments this advisor has had in the past or future.
  • Click the "Add" button to open the Add Appointment modal.
    
    
  • Add any information, including whether or not the appointment was with the primary firm and any Start Dates or End Dates.
    
    
  • Select the "Create Appointment" button to confirm.
    
    
• Use the action dropdown menu to the left of any appointments and select "Edit" to make changes or "Delete" to remove the appointment.