Fees & Compensation

Producer Level
Quarterly fee: $2,000*

VUL override payout: 95%
VUL retail compensation payout: 90%
$500,001 — $1,000,000 at 91%
$1,000,000 – $1,500,000 at 92%
$1,500,001 – $2,000,000 at 93%
$2,000,000+ at 94%

Our compliance, firm element requirements for reps are met via webinar offered several times throughout the year. Periodically, The Simplicity Investments may hold registered rep events as optional networking and business development opportunities where we encourage participation.

*Does not include: Onboarding fee ($440), annual state fees (vary by state), U4 disclosure review fee ($440) if applicable, and CE inactive fee ($55) if applicable.
*Includes: E&O insurance and technology platform.

Contact us for more information: (303) 797-9080 x1650

Benefits

  • No OSJ responsibilities
  • Business friendly compliance
  • Maintain ownership of your clients
  • Build your own brand
  • Technology platform included

Note: Outside RIA friendly (compliance oversight required)

General Requirements

  • Existing FINRA registration and experience
  • Clean regulatory registered representative record
  • Attendance at the annual business development meeting
  • Indexed Annuities (EIA) must run through the grid for suitability
  • Must complete all pending regulatory continuing education within 15 days of registration

Simplicity Investments Areas of Expertise