Referral and Intermediary Roles
Working together can be beneficial to everyone involved!
If you know others who can benefit from the information presented on this website, there are two ways we can work together.
Referral Role
A Referral Source is someone who simply introduces two parties and is not actively involved in any transaction that ensues from that introduction. Referral sources are considered to have provided incidental assistance and will be paid a referral fee by the intermediary to whom the assistance was provided.
If you would like to refer someone to SRM, follow these procedures:
Intermediary Role
To qualify as an Intermediary, you will have to play an active role in processing the transaction. That means educating the client or another intermediary so that everyone understands what is required and expected. It also includes being an active part of assisting in the preparation and/or review of the compliance package and facilitating the provision of additional documents or information.
When a client is introduced to SRM through an intermediary, then there are at least two intermediaries involved in the transaction: the person working directly with the client and SRM. There may be additional intermediaries, such as: someone between SRM and the intermediary working directly with the client or an intermediary working directly with the trade group. The allocation of fees among the intermediaries in any transaction will be set forth in a Fee Agreement.
If you would like to register as an SRM Intermediary, follow these procedures.
Compensation
We appreciate the opportunity to be of service both to your occasional referrals and to your business clients. We also appreciate the effort that goes into finding or securing a client for one of our financial programs. So, when one of your contacts decides to become a client in a financial program that we facilitate, your introductory role will be rewarded with either a referral fee or an intermediary fee.
Bear in mind that we are not a broker, dealer, or a registered investment advisor and that we receive no compensation for providing any such services. Our role is two-fold:
- You can simply refer family members, friends or business associates to SRM or
- You can function as an intermediary between SRM and your clients.
Referral Role
A Referral Source is someone who simply introduces two parties and is not actively involved in any transaction that ensues from that introduction. Referral sources are considered to have provided incidental assistance and will be paid a referral fee by the intermediary to whom the assistance was provided.
If you would like to refer someone to SRM, follow these procedures:
- Download the Referral Registration form.
- Complete, execute and email this form to SRM.
- Email PDF copies of all "Referral Registration" forms to Submissions@srmtrades.com or fax them to 719-362-4499.
Intermediary Role
To qualify as an Intermediary, you will have to play an active role in processing the transaction. That means educating the client or another intermediary so that everyone understands what is required and expected. It also includes being an active part of assisting in the preparation and/or review of the compliance package and facilitating the provision of additional documents or information.
When a client is introduced to SRM through an intermediary, then there are at least two intermediaries involved in the transaction: the person working directly with the client and SRM. There may be additional intermediaries, such as: someone between SRM and the intermediary working directly with the client or an intermediary working directly with the trade group. The allocation of fees among the intermediaries in any transaction will be set forth in a Fee Agreement.
If you would like to register as an SRM Intermediary, follow these procedures.
- Download the Intermediary Inquiry and Mutual NCND forms.
- Complete, execute and email those forms back to SRM.
- Register your clients with SRM using the Client Introduction Form.
- Email PDF copies of all "Intermediary" and "Client Introduction" forms to Submissions@srmtrades.com or fax them to 719-362-4499.
Compensation
We appreciate the opportunity to be of service both to your occasional referrals and to your business clients. We also appreciate the effort that goes into finding or securing a client for one of our financial programs. So, when one of your contacts decides to become a client in a financial program that we facilitate, your introductory role will be rewarded with either a referral fee or an intermediary fee.
Bear in mind that we are not a broker, dealer, or a registered investment advisor and that we receive no compensation for providing any such services. Our role is two-fold:
- Introducing one private party to another private party so they can communicate directly with each other for the purpose of potentially consummating a private financial transaction between themselves.
- Facilitating that transaction by providing support to either private party during the introduction/application process.
Disclaimer #4: Information provided on this website about any financial programs is believed to be accurate and reliable, but SRM Services Ltd. does not represent that any specific returns or terms are obtainable from the financial programs described. Information contained herein could be erroneous. All financial programs are subject to change without notice. Potential program participants must do careful due diligence on and obtain specific information about each private program directly from the program managers. See all Disclaimers.
USA Office Hours: 8:30AM to 6:00PM MST or by appointment.
Copyright 2012. All rights reserved. SRM Services Limited.
