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FAQs

Frequently Asked Questions

Can I work with a broker-dealer?
OneSeven is a “hybrid-RIA” meaning you have the ability to work with a friendly broker-dealer for commission and trail business. This is how you would continue to maintain your series 7 license and transact certain types of business. All of your fee-based business will be conducted through the RIA, OneSeven.
What is the difference between an RIA and a broker-dealer?

RIAs are registered with the SEC and broker-dealers are regulated by FINRA. Because of this there are different rules, guidelines, and compliance features. OneSeven will walk you through the options and what this means for you and your business.

How will I be affiliated with OneSeven?

You would affiliate with OneSeven as an independent investment advisor representative. OneSeven is the SEC-registered entity for compliance purposes.

 
Can I keep the name of my practice or create my own DBA and brand?

Yes, you can keep the name of your practice or you are more than welcome to create your own brand. We also have a marketing and graphic design team to assist you in walking through this process and executing your vision.

What kind of back-office support do you provide?

OneSeven’s goal is to empower you to more efficiently run you business/practice and spend your time on the most beneficial activities to continue your success. In addition to a full transition support team, we support you and your team with compliance, operations, technology, marketing, finance, and billing support on a daily basis in additional to other services which we will be happy to discuss in more detail.

What is the payout schedule?

Contact us for more information on our payout scale.

How does your compliance work?
OneSeven manages a robust compliance program doing the heavy lifting for you so you can focus on growing your business. While there are some items that are the responsibility of the advisor, the day-to-day tasks are no longer a worry for you or your team.
How are administrative tasks handled?
You can either hire your own admin(s) or you can utilize our OneSeven Admin Desk at an additional cost.
What are the main costs that I would be responsible for?
Healthcare, retirement plan, admin, office expenses, direct marketing, travel, and entertainment are the main costs that the advisor would be responsible for.
How am I employed/paid?
You will be affiliated with OneSeven as a 1099 contractor. If you don’t already have an LLC, we do recommend setting one up.
How long does onboarding take?

Onboarding takes between 8-12 weeks depending on the level of branding and marketing assistance needed.

 
Do you offer an investment option?
Yes, we offer investment options through SMArtX. Learn more about our partnership with SMArtX here.
What does OneSeven do to build community or create an environment for advisors?
OneSeven holds monthly Markets and Marketing meetings, Annual Conferences, monthly Lunch and Learns, and we are always making one one-on-one introductions across the team and to our partners based on specific needs, niches, and more.
What does OneSeven do to build community or create an environment for advisors?
OneSeven holds monthly Markets and Marketing meetings, Annual Conferences, monthly Lunch and Learns, and we are always making one one-on-one introductions across the team and to our partners based on specific needs, niches, and more.
Who reviews contracts and helps me with legal?
An initial review of your employment contract will be conducted through a OneSeven sourced attorney. Any additional legal needs are at the expense of the advisor.
Is there any upfront money?
We do not provide a big check upfront but we have a highly competitive pay scale. Contact us for more information on our payouts and other opportunities to help you structure your business and income that meets your needs.
How is billing done?
OneSeven handles all of your billing. Our standard billing is done quarterly in advance.
Are there any opportunities for ownership?
There are currently no opportunities for ownership in OneSeven. Reach out to us to discuss partnership opportunities.
Are there any quotas I would have to meet?
By joining OneSeven you are an independent business owner. The only quotas you have to meet are the ones that you set yourself.
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OneSeven is a registered investment adviser with the U.S. Securities and Exchange Commission (SEC). Registration with the SEC does not imply a certain level of skill or training. Certain Advisory Persons, are also registered representatives of MGO Securities Corporation, Member FINRA/SIPC (“MGOSC”). As a registered representative, securities may be offered through MGOSC. MGOSC and OneSeven are affiliated companies. Investment products are not FDIC insured, offer no bank guarantee, and may lose value.

OneSeven earned a spot on USA TODAY’s List of Top Advisers in April of 2024 based upon a list compiled by market research firm, Statista. The list culled the list of investment advisers registered with the U.S. Securities and Exchange Commission down to the top 500 firms based on the growth of their assets under management over the short and long term, and recommendations from clients and peers. OneSeven did not participate in or pay to be included in the selection process.