Prospera + Cutter Week 1 Information Center

 

Leadership Team
For a list of Prospera's leadership team contact information, click here. 

SmartStation Access

Timeline for SmartStation Access:

  • Friday, 5/16: Access to SmartStation on the Cutter side will be disabled at approximately 3:00 p.m. CT.
  • Saturday, 5/17 - Monday, 5/19: SmartStation access will not be available.
  • Tuesday, 5/20: Most users will regain access to SmartStation on the Prospera side.
    Secure welcome emails will be sent to all users.
  • Wednesday, 5/21: This is the latest date by which we expect all users to have access.

Important Information:

  • Your ELID/F# will remain the same.
  • Your current versions of GlobalProtect and SmartStation do not need to be updated.
  • Login credentials (PINs) will remain the same.
  • RSA Tokens will remain active.

First-Time Login Instructions:
First Clearing expects all user accounts to be ready on Tuesday, May 20. Please attempt to log in to SmartStation as normal:

  1. Open GlobalProtect as usual.
  2. Enter your existing ELID/F#.
  3. Enter your legacy PIN + numbers on your existing RSA token.
  4. Log in to SmartStation as normal.

Support Contacts:

  • For login issues with GlobalProtect or SmartStation, contact the FCC Technology Helpdesk at 877-494-6436 (Option 2, then Option 1).
  • If the FCC Helpdesk cannot resolve your issue, or if you experience any unusual problems, please contact the Prospera Technology Helpdesk at Tech@prosperafinancial.com or (972) 581-3058. Our team can help escalate more complex issues directly with FCC.

Compliance Items

ADV 2B / Disclosure Packets
Each advisor will have a custom Firm Disclosure Booklet that contains the Form CRS, Regulation Best Interest Disclosure, Form ADV Part 2 A and the Form ADV Part 2B. This document must be provided to each client before making a recommendation or opening an account. You will receive a copy of your booklet starting Monday, May 19. You may access Prospera's firm disclosures on prosperafinancial.com/disclosures/.

Update Signage
Within a week of the run sub, you’ll receive a new sign showing Prospera as the broker-dealer, as required by FINRA. This should replace any current office sign with Cutter disclosures. You may choose to use this temporarily while you create a permanent version. A SIPC sign is also included in the mailing as a courtesy - it's not firm-specific and must be clearly displayed.

Print Your Form U4
Print and maintain the most current copy of your Form U4 reflecting your affiliation with Prospera Financial Services. Access the U4 at https://finpro.finra.org/ and click the Print My Report link in the upper-right Actions box.

Written Supervisory Procedures (WSPs)
You may begin familiarizing yourselves with Prospera's WSPs. They can be found by clicking here for the Brokerage WSPs and here for Advisory WSPs. You may also find them on cutterco.com/forms starting Monday, May 19.

 

Email Signatures, Websites, and Printed Materials

Update Email Signatures
On Monday, May 19, please update your email signatures to include the Prospera required disclosures. Click here for instructions on making the updates and verbiage to include. 

Website Updates
***Please note, the Cutter First Clearing client login link will be down starting late afternoon on Friday, May 16. Access will restart on Monday, May 19. During the downtime, clients can go to https://prospera.fccaccessonline.com/. This will allow them to log in with their existing credentials if they prefer not to wait until Monday to access their accounts. 

FMG and Broadridge users will have their website disclosures and Access Online links updated automatically on Monday, May 19. No action is required for those users. If you have a website on a different platform, please click here for the necessary updates to make on Monday, May 19. 

Printed Marketing Materials
Begin using your materials with Prospera’s disclosure on Monday, May 19. Please reach out to marketing@prosperafinancial.com with re-ordering assistance or to submit your print invoices.

 


  Twitter LinkedIn Facebook  
© Prospera Financial Services. All rights reserved.
5429 LBJ Freeway, Suite 750, Dallas, Texas 75240 • (877) 737-5429