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The packet contains a Registered Sales Assistant Agreement between Private Client Services, LLC (PCS) and the RSA. The agreement sets eligibility and compliance representations, defines supervised independent-contractor duties, authorizes access to securities and insurance products, and specifies confidentiality, record ownership, post-termination record turnover, and customer non-contact obligations.",{"@graph":63,"@context":118},[64,80,101],{"@type":65,"itemListElement":66},"BreadcrumbList",[67,71,74,77],{"item":68,"name":69,"@type":70,"position":9},"https://docshare.wps.com","Home","ListItem",{"item":72,"name":10,"@type":70,"position":73},"https://docshare.wps.com/template/",2,{"item":75,"name":41,"@type":70,"position":76},"https://docshare.wps.com/template/letters/",3,{"item":78,"name":59,"@type":70,"position":79},"https://docshare.wps.com/template/new-hire-pre-approval-packet-registered-sales-assistant-agreement/278053/",4,{"url":78,"name":59,"@type":81,"image":82,"author":87,"headline":59,"publisher":90,"fileFormat":93,"inLanguage":57,"description":61,"dateModified":94,"datePublished":95,"encodingFormat":93,"isAccessibleForFree":96,"interactionStatistic":97},"DigitalDocument",{"url":83,"@type":84,"width":85,"height":86},"https://docshare.wps.com/thumbnails/new-hire-pre-approval-packet-registered-sales-assistant-agreement/278053.png","ImageObject",442,249,{"name":88,"@type":89},"นรินทร์","Person",{"url":68,"name":91,"@type":92},"DocShare","Organization","application/pdf","2026-10-30","2026-09-15",true,{"@type":98,"interactionType":99,"userInteractionCount":8},"InteractionCounter",{"@type":100},"ViewAction",{"@type":102,"mainEntity":103},"FAQPage",[104,110,114],{"name":105,"@type":106,"acceptedAnswer":107},"What information is collected in the New Hire Pre-Approval Packet?","Question",{"text":108,"@type":109},"The packet collects requestor and new hire contact details, legal name, branch address, security-related identifiers, proposed start date, and the responsibilities/role description. It also includes technology access selections and system access details.","Answer",{"name":111,"@type":106,"acceptedAnswer":112},"Who are the parties to the Registered Sales Assistant Agreement?",{"text":113,"@type":109},"The agreement is entered into by Private Client Services, LLC (PCS) and the Registered Sales Assistant (RSA). It defines the relationship between the parties for securities and insurance sales support.",{"name":115,"@type":106,"acceptedAnswer":116},"What confidentiality and record requirements apply to the RSA?",{"text":117,"@type":109},"The RSA must maintain strict confidentiality of customer names, not disclose them to third parties, and comply with customer privacy requirements under the Gramm-Leach-Bliley Act. The agreement also states PCS ownership of books, records, and customer accounts, and requires the RSA to turn over records upon termination.","https://schema.org",{"og:url":78,"og:type":120,"og:title":59,"og:site_name":91,"og:description":61},"article",{"robots":122,"canonical":78},"index,follow",{"doc_id":124,"site_id":56},278053,1790353540,{"code":4,"msg":5,"data":127},{"doc_id":124,"user_id":128,"nickname":88,"user_avatar":129,"doc_module":9,"category_id":40,"category_name":41,"doc_title":59,"doc_description":61,"doc_content":130,"file_id":131,"file_url":132,"file_type":133,"file_size":134,"view_count":8,"is_deleted":4,"is_public":9,"is_downloadable":9,"audit_status":9,"page_count":135,"language":136,"language_code":57,"site_id":56,"html_lang":57,"table_of_contents":137,"faqs":138,"seo_title":139,"seo_description":61,"update_tm":140,"read_time":141},2336475104957,"https://ap-avatar.wpscdn.com/avatar/22000c4c6bd8a5076e1?x-image-process=image/resize,m_fixed,w_180,h_180&k=1787554080175789136","New Hire Pre-Approval Packet  \nRegistered Sales Assistant-Registered, non-producing person  \n\n| Company: | Requestor’s Name: |\n| --- | --- |\n| Requestor’s Email: | Requestor’s Direct Phone: |\n\nPotential New Hire Contact Information  \n\n| Legal Name: | Branch Address: |\n| --- | --- |\n| Social Security Number: | Date of Birth: |\n| Cell Phone: | Company Email: |\n| Proposed Start Date: | CRD Number: |\n| Explain the Responsibilities/Role of the New Hire |  |\n| Technology Access\u003Cbr>□ NetX360-List rep name & number for billing purposes:\u003Cbr>No fee unless premium content service is requested – above information will be kept on file.\u003Cbr>-List rep name(s) & number(s) new hire will need access to:\u003Cbr>□ Docupace-List rep name (s) & number(s) new hire will need access to:\u003Cbr>□ jPass-List rep name (s) & number(s) new hire will need access to: |  |\n\nPrivate Client Services  \nRegistered Sales Assistant Agreement  \nThis Registered Sales Assistant Agreement (the “Agreement”) is entered into by and between Private Client Services, LLC, whose principal mailing address is 2225 Lexington Road, Louisville, Kentucky (“PCS”), and  whose principal mailing address is   (the \"Registered Sales Assistant\"or the “RSA” and, together with PCS, the “Parties”) .  \nWHEREAS, in accordance with the terms of this Agreement and the conditions set forth below, the Parties agree that PCS shall authorize the Registered Sales Assistant to assist registered representative(s) of PCS to sell securities, variable insurance products, variable and fixed annuities, traditional life and health insurance products:  \nThe Parties agree as follows:  \nI.  Representations and Identification of the Parties  \n1.1 PCS is a broker-dealer dually registered and in good standing with the Securities and Exchange Commission (\"SEC\") under the Securities Exchange Act of 1934 (“the Act”), and with the Financial Industry Regulatory Authority (“FINRA”) . PCS is also an SEC-registered investment advisor under applicable Federal and state laws, as well as a licensed life, annuity, and health insurance agency in all jurisdictions in which it conducts or will conduct business . PCS is permitted to engage in this activity pursuant to section 3(a)(4)(B)(i) of the Act and its interpretive releases. PCS will comply with all applicable laws and regulations as well as all rules of all regulatory bodies that exercise jurisdiction over PCS.  \n1.2 The RSA warrants that s/he is in good standing with FINRA, the SEC, and all state regulatory agencies overseeing securities and insurance activities . The RSA will comply with all applicable laws and regulations as well as all rules of all regulatory bodies that exercise jurisdiction over registered sales assistants and licensed insurance agents.  \n1.3 The RSA will be registered with PCS and agrees to be supervised by PCS in accordance with FINRA rules and regulations and the PCS Registered Representative Compliance Manual, directives, procedures, instructions, memorandums, and like instructions communicated by PCS.  \n1.4 The RSA acknowledges that, in accordance with the terms of this Agreement, the RSA agrees to exclusively sell to customers of PCS only those securities, variable insurance products, variable and fixed annuities, traditional life and health insurance products which are specifically authorized.  \nII.  Duties and Responsibilities  \n2.1 PCS will assist the RSA by affiliating the RSA with PCS, by providing compliance and regulatory oversight of the RSA, by providing access, if necessary, to errors and omissions insurance protection covering the activities relating to the broker-dealer, and by providing access to life, annuity, and health insurance products through insurance carriers with whom PCS conducts business .  \n2.2 The Parties’ intention is to create an independent contractor relationship between the RSA and PCS and to provide securities services, subject to this Agreement. Services provided by PCS will include executing purchases and sales of secur","cbCaiiCIGo4UU0rs","https://ap.wps.com/l/cbCaiiCIGo4UU0rs","pdf",3339303,29,"English","# New Hire Pre-Approval Packet\n## Potential New Hire Contact Information\n## Technology Access\n## Private Client Services - Registered Sales Assistant Agreement\n## Representations and Identification of the Parties\n## Duties and Responsibilities","[{\"question\":\"What information is collected in the New Hire Pre-Approval Packet?\",\"answer\":\"The packet collects requestor and new hire contact details, legal name, branch address, security-related identifiers, proposed start date, and the responsibilities/role description. It also includes technology access selections and system access details.\"},{\"question\":\"Who are the parties to the Registered Sales Assistant Agreement?\",\"answer\":\"The agreement is entered into by Private Client Services, LLC (PCS) and the Registered Sales Assistant (RSA). It defines the relationship between the parties for securities and insurance sales support.\"},{\"question\":\"What confidentiality and record requirements apply to the RSA?\",\"answer\":\"The RSA must maintain strict confidentiality of customer names, not disclose them to third parties, and comply with customer privacy requirements under the Gramm-Leach-Bliley Act. The agreement also states PCS ownership of books, records, and customer accounts, and requires the RSA to turn over records upon termination.\"}]","New Hire Pre-Approval Packet - Registered Sales Assistant Agreement | PDF",1789506539,10]