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BE A PARAGENT

BE A PARAGENT

BE A PARAGENT

BE A PARTNER

BE A PARTNER

BE A PARTNER

THE NETWORK

THE NETWORK

THE NETWORK

TESTIMONIALS

TESTIMONIALS

TESTIMONIALS

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BECAME A CERTIFIED FINANCE PARAGENT

“Once you are certified and already part of the financial industry, what will your reaction be, when you see that companies and advisors want to work with you because of your new title?”

BECAME A CERTIFIED FINANCE PARAGENT

“Once you are certified and already part of the financial industry, what will your reaction be, when you see that companies and advisors want to work with you because of your new title?”

BECAME A CERTIFIED FINANCE PARAGENT

“Once you are certified and already part of the financial industry, what will your reaction be, when you see that companies and advisors want to work with you because of your new title?”

Become a Certified

Financial Paragent - Global

Become a Certified

Financial Paragent - Global

Become a Certified

Financial Paragent - Global

Become a Authorized

Financial Paragent Partner - Global

Become a Authorized

Financial Paragent Partner - Global

Become a Authorized

Financial Paragent Partner - Global

About Paragent

About Paragent

About Paragent

The PARAGENT was created to meet a growing need for financial education and connection between people and institutions. In a complex world where many lack access to financial guidance, Paragents are trained and certified to educate, clarify, and connect clients with licensed advisors—without selling products. This global platform empowers individuals to become trusted guides, expanding access and building trust. PARAGENT is more than a program—it’s a movement to transform financial literacy, opportunity, and impact worldwide. And it’s only just beginning.

The PARAGENT was created to meet a growing need for financial education and connection between people and institutions. In a complex world where many lack access to financial guidance, Paragents are trained and certified to educate, clarify, and connect clients with licensed advisors—without selling products. This global platform empowers individuals to become trusted guides, expanding access and building trust. PARAGENT is more than a program—it’s a movement to transform financial literacy, opportunity, and impact worldwide. And it’s only just beginning.

The PARAGENT was created to meet a growing need for financial education and connection between people and institutions. In a complex world where many lack access to financial guidance, Paragents are trained and certified to educate, clarify, and connect clients with licensed advisors—without selling products. This global platform empowers individuals to become trusted guides, expanding access and building trust. PARAGENT is more than a program—it’s a movement to transform financial literacy, opportunity, and impact worldwide. And it’s only just beginning.

Finra / Sec / Blue Sky Laws - LEGAL

Finra / Sec / Blue Sky Laws - LEGAL

Finra / Sec / Blue Sky Laws - LEGAL

Working with a PARAGENT provides licensed financial advisors a fully legal way to grow their practice while remaining compliant with U.S. laws such as FINRA Rule 2040, Section 15(a) of the Securities Exchange Act of 1934 and Blue Sky Laws. PARAGENTS do not solicit investments or receive commissions but focus on education and qualified lead generation. This compliant partnership expands reach, reduces acquisition costs, and connects advisors with interested prospects, enabling ethical growth within regulatory boundaries and supporting a people-centered, legally sound financial practice.

Working with a PARAGENT provides licensed financial advisors a fully legal way to grow their practice while remaining compliant with U.S. laws such as FINRA Rule 2040, Section 15(a) of the Securities Exchange Act of 1934 and Blue Sky Laws. PARAGENTS do not solicit investments or receive commissions but focus on education and qualified lead generation. This compliant partnership expands reach, reduces acquisition costs, and connects advisors with interested prospects, enabling ethical growth within regulatory boundaries and supporting a people-centered, legally sound financial practice.

Working with a PARAGENT provides licensed financial advisors a fully legal way to grow their practice while remaining compliant with U.S. laws such as FINRA Rule 2040, Section 15(a) of the Securities Exchange Act of 1934 and Blue Sky Laws. PARAGENTS do not solicit investments or receive commissions but focus on education and qualified lead generation. This compliant partnership expands reach, reduces acquisition costs, and connects advisors with interested prospects, enabling ethical growth within regulatory boundaries and supporting a people-centered, legally sound financial practice.

WHAT THE FINANCIAL INDUSTRY SAYS

WHAT THE FINANCIAL INDUSTRY SAYS

WHAT THE FINANCIAL INDUSTRY SAYS

“Agents Deserve More. Paragents Deliver It.”

“Agents Deserve More. Paragents Deliver It.”

“Agents Deserve More. Paragents Deliver It.”

“Paragents Are the Upgrade Agents Have Been Waiting For.”

“Paragents Are the Upgrade Agents Have Been Waiting For.”

“Paragents Are the Upgrade Agents Have Been Waiting For.”

“Paragents Elevate Every Agent’s Potential.”

“Paragents Elevate Every Agent’s Potential.”

“Paragents Elevate Every Agent’s Potential.”

“The Agent’s Ally. The Industry’s Evolution.”

“The Agent’s Ally. The Industry’s Evolution.”

“The Agent’s Ally. The Industry’s Evolution.”

WHAT THE FINANCIAL INDUSTRY SAYS

WHAT THE FINANCIAL INDUSTRY SAYS

WHAT THE FINANCIAL INDUSTRY SAYS

“Empowering Agents Through Paragents.”

“Empowering Agents Through Paragents.”

“Empowering Agents Through Paragents.”

“Empowering Agents to Be Unstoppable.”

“Empowering Agents to Be Unstoppable.”

“Empowering Agents to Be Unstoppable.”

“Paragents Fuel Agents with Power.”

“Paragents Fuel Agents with Power.”

“Paragents Fuel Agents with Power.”

“Paragents Multiply the Power of Every Agent.”

“Paragents Multiply the Power of Every Agent.”

“Paragents Multiply the Power of Every Agent.”

Legal and Scalable Compensation for Certified Paragents

 Through Group Conversion Performance

Legal and Scalable Compensation for Certified Paragents

 Through Group Conversion Performance

Legal and Scalable Compensation for Certified Paragents

 Through Group Conversion Performance

1. Can a Certified Paragent legally receive money when leads become clients or invest?

1. Can a Certified Paragent legally receive money when leads become clients or invest?

1. Can a Certified Paragent legally receive money when leads become clients or invest?

Yes, as long as the payment is not based on the amount invested by any individual client. Paragents can receive performance-based bonuses when a certain percentage of their qualified leads eventually become clients. The compensation is tied to outreach productivity—not to sales, advice, or investment size. Contract templates are provided in the certifications.

Yes, as long as the payment is not based on the amount invested by any individual client. Paragents can receive performance-based bonuses when a certain percentage of their qualified leads eventually become clients. The compensation is tied to outreach productivity—not to sales, advice, or investment size. Contract templates are provided in the certifications.

Yes, as long as the payment is not based on the amount invested by any individual client. Paragents can receive performance-based bonuses when a certain percentage of their qualified leads eventually become clients. The compensation is tied to outreach productivity—not to sales, advice, or investment size. Contract templates are provided in the certifications.

3. What ensures that this bonus system is legally compliant?

3. What ensures that this bonus system is legally compliant?

3. What ensures that this bonus system is legally compliant?

The system is legal because:

1 - Paragents are paid for marketing and educational outreach.

2 - The bonus is triggered by conversion ratios, not investment size.

3 - All advisory conversations and contracts are handled only by licensed professionals.

4 - The Paragent contract includes clear clauses defining the scope of work and separation from advisory duties.

The system is legal because:

1 - Paragents are paid for marketing and educational outreach.

2 - The bonus is triggered by conversion ratios, not investment size.

3 - All advisory conversations and contracts are handled only by licensed professionals.

4 - The Paragent contract includes clear clauses defining the scope of work and separation from advisory duties.

The system is legal because:

1 - Paragents are paid for marketing and educational outreach.

2 - The bonus is triggered by conversion ratios, not investment size.

3 - All advisory conversations and contracts are handled only by licensed professionals.

4 - The Paragent contract includes clear clauses defining the scope of work and separation from advisory duties.

2. How is this different from earning commissions like a financial advisor?

2. How is this different from earning commissions like a financial advisor?

2. How is this different from earning commissions like a financial advisor?

Unlike licensed financial advisors, Paragents do not earn commissions based on transactions or assets under management (AUM). Their bonuses are based on the volume of qualified leads that result in engagement, not on investment activity. This keeps their role fully compliant with FINRA, SEC, and Blue Sky Laws and local authorities. Contract templates are provided in the certifications.

Unlike licensed financial advisors, Paragents do not earn commissions based on transactions or assets under management (AUM). Their bonuses are based on the volume of qualified leads that result in engagement, not on investment activity. This keeps their role fully compliant with FINRA, SEC, and Blue Sky Laws and local authorities. Contract templates are provided in the certifications.

Unlike licensed financial advisors, Paragents do not earn commissions based on transactions or assets under management (AUM). Their bonuses are based on the volume of qualified leads that result in engagement, not on investment activity. This keeps their role fully compliant with FINRA, SEC, and Blue Sky Laws and local authorities. Contract templates are provided in the certifications.

4. How does this benefit licensed advisors and institutions?

4. How does this benefit licensed advisors and institutions?

4. How does this benefit licensed advisors and institutions?

This model allows licensed advisors to expand their reach exponentially by delegating prospecting and qualification to trained Paragents. It saves time, reduces cold outreach inefficiencies, and delivers ready-to-convert prospects, all while maintaining full legal and ethical boundaries. Contract templates are provided in the certifications as well as for Paragents, Licensed Agents and Financial Institutions.

This model allows licensed advisors to expand their reach exponentially by delegating prospecting and qualification to trained Paragents. It saves time, reduces cold outreach inefficiencies, and delivers ready-to-convert prospects, all while maintaining full legal and ethical boundaries. Contract templates are provided in the certifications as well as for Paragents, Licensed Agents and Financial Institutions.

This model allows licensed advisors to expand their reach exponentially by delegating prospecting and qualification to trained Paragents. It saves time, reduces cold outreach inefficiencies, and delivers ready-to-convert prospects, all while maintaining full legal and ethical boundaries. Contract templates are provided in the certifications as well as for Paragents, Licensed Agents and Financial Institutions.

Frequently Asked Questions (FAQ)

Legal Compliance for Paragents in the U.S. Financial Industry

Frequently Asked Questions (FAQ)

Legal Compliance for Paragents in the U.S. Financial Industry

Frequently Asked Questions (FAQ)

Legal Compliance for Paragents in the U.S. Financial Industry

1. Who regulates broker-dealers and investment advisers in the United States?

1. Who regulates broker-dealers and investment advisers in the United States?

1. Who regulates broker-dealers and investment advisers in the United States?

The Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) are the primary regulatory bodies overseeing broker-dealers and registered investment advisers in the U.S.

The Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) are the primary regulatory bodies overseeing broker-dealers and registered investment advisers in the U.S.

The Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) are the primary regulatory bodies overseeing broker-dealers and registered investment advisers in the U.S.

2. Are Paragents allowed to receive commission-based compensation tied to investment sales?

2. Are Paragents allowed to receive commission-based compensation tied to investment sales?

2. Are Paragents allowed to receive commission-based compensation tied to investment sales?

No. Under SEC and FINRA regulations, only licensed professionals can receive transaction-based compensation. Paragents are paid via flat fees, per-lead arrangements, or for educational and marketing services, not for the completion of investment sales.

No. Under SEC and FINRA regulations, only licensed professionals can receive transaction-based compensation. Paragents are paid via flat fees, per-lead arrangements, or for educational and marketing services, not for the completion of investment sales.

No. Under SEC and FINRA regulations, only licensed professionals can receive transaction-based compensation. Paragents are paid via flat fees, per-lead arrangements, or for educational and marketing services, not for the completion of investment sales.

3. How are Paragents different from traditional financial advisors or brokers?

3. How are Paragents different from traditional financial advisors or brokers?

3. How are Paragents different from traditional financial advisors or brokers?

Paragents focus on financial education, marketing, and lead generation. They do not provide personalized investment advice or participate in securities transactions.

Paragents focus on financial education, marketing, and lead generation. They do not provide personalized investment advice or participate in securities transactions.

Paragents focus on financial education, marketing, and lead generation. They do not provide personalized investment advice or participate in securities transactions.

4. Is there a specific FINRA rule regarding commissions to unregistered persons?

4. Is there a specific FINRA rule regarding commissions to unregistered persons?

4. Is there a specific FINRA rule regarding commissions to unregistered persons?

Yes. FINRA Rule 2040 prohibits the payment of commissions to unregistered individuals for activities related to securities transactions.

Yes. FINRA Rule 2040 prohibits the payment of commissions to unregistered individuals for activities related to securities transactions.

Yes. FINRA Rule 2040 prohibits the payment of commissions to unregistered individuals for activities related to securities transactions.

5. In what ways can Paragents be legally compensated for their services?

5. In what ways can Paragents be legally compensated for their services?

5. In what ways can Paragents be legally compensated for their services?

Paragents may receive compensation for educational seminars, marketing campaigns, event participation, or generating qualified leads. Their compensation is never tied to the closing of sales or investments.

Paragents may receive compensation for educational seminars, marketing campaigns, event participation, or generating qualified leads. Their compensation is never tied to the closing of sales or investments.

Paragents may receive compensation for educational seminars, marketing campaigns, event participation, or generating qualified leads. Their compensation is never tied to the closing of sales or investments.

6. Why is it legal for Paragents to earn income based on the number of qualified leads rather than closed deals?

6. Why is it legal for Paragents to earn income based on the number of qualified leads rather than closed deals?

6. Why is it legal for Paragents to earn income based on the number of qualified leads rather than closed deals?

Because payment is based on the service of education or lead generation, not the outcome of a securities transaction. This means Paragents are not subject to the licensing requirements that apply to transaction-based compensation.

Because payment is based on the service of education or lead generation, not the outcome of a securities transaction. This means Paragents are not subject to the licensing requirements that apply to transaction-based compensation.

Because payment is based on the service of education or lead generation, not the outcome of a securities transaction. This means Paragents are not subject to the licensing requirements that apply to transaction-based compensation.

7. Can Paragents recommend specific financial products or securities?

7. Can Paragents recommend specific financial products or securities?

7. Can Paragents recommend specific financial products or securities?

No. Paragents must not provide specific investment recommendations. Doing so would constitute investment advice, which requires appropriate licensing.

No. Paragents must not provide specific investment recommendations. Doing so would constitute investment advice, which requires appropriate licensing.

No. Paragents must not provide specific investment recommendations. Doing so would constitute investment advice, which requires appropriate licensing.

8. Are Paragents allowed to conduct financial education workshops or seminars?

8. Are Paragents allowed to conduct financial education workshops or seminars?

8. Are Paragents allowed to conduct financial education workshops or seminars?

Yes. The SEC and FINRA permit unlicensed individuals to provide general financial education, as long as it does not involve specific investment advice or the solicitation of securities transactions.

Yes. The SEC and FINRA permit unlicensed individuals to provide general financial education, as long as it does not involve specific investment advice or the solicitation of securities transactions.

Yes. The SEC and FINRA permit unlicensed individuals to provide general financial education, as long as it does not involve specific investment advice or the solicitation of securities transactions.

9. What are Blue Sky Laws and how do they affect Paragent activities?

9. What are Blue Sky Laws and how do they affect Paragent activities?

9. What are Blue Sky Laws and how do they affect Paragent activities?

Blue Sky Laws are state-level securities regulations. Paragents remain compliant by avoiding activities that require registration, such as giving investment advice or soliciting securities sales.

Blue Sky Laws are state-level securities regulations. Paragents remain compliant by avoiding activities that require registration, such as giving investment advice or soliciting securities sales.

Blue Sky Laws are state-level securities regulations. Paragents remain compliant by avoiding activities that require registration, such as giving investment advice or soliciting securities sales.

10. Can Paragents be paid for organizing or presenting at financial education events?

10. Can Paragents be paid for organizing or presenting at financial education events?

10. Can Paragents be paid for organizing or presenting at financial education events?

Yes. Compensation for educational services—when not tied to securities transactions—is legal and does not require registration as a securities professional.

Yes. Compensation for educational services—when not tied to securities transactions—is legal and does not require registration as a securities professional.

Yes. Compensation for educational services—when not tied to securities transactions—is legal and does not require registration as a securities professional.

11. What disclosures should Paragents provide when promoting educational or marketing events?

11. What disclosures should Paragents provide when promoting educational or marketing events?

11. What disclosures should Paragents provide when promoting educational or marketing events?

Paragents must clearly state that they are educators and are not licensed to provide investment advice or sell securities, ensuring transparency with the public.

Paragents must clearly state that they are educators and are not licensed to provide investment advice or sell securities, ensuring transparency with the public.

Paragents must clearly state that they are educators and are not licensed to provide investment advice or sell securities, ensuring transparency with the public.

12. Can Paragents be paid by financial firms for marketing campaigns that generate interest in advisory services?

12. Can Paragents be paid by financial firms for marketing campaigns that generate interest in advisory services?

12. Can Paragents be paid by financial firms for marketing campaigns that generate interest in advisory services?

Yes, provided the compensation is based on marketing deliverables or qualified leads, not on completed transactions or investments.

Yes, provided the compensation is based on marketing deliverables or qualified leads, not on completed transactions or investments.

Yes, provided the compensation is based on marketing deliverables or qualified leads, not on completed transactions or investments.

13. How do Paragents ensure their referral activities remain compliant with SEC and FINRA rules?

13. How do Paragents ensure their referral activities remain compliant with SEC and FINRA rules?

13. How do Paragents ensure their referral activities remain compliant with SEC and FINRA rules?

Paragents receive compensation only for their educational or marketing services, not for closing referrals or investment contracts, staying within legal boundaries.

Paragents receive compensation only for their educational or marketing services, not for closing referrals or investment contracts, staying within legal boundaries.

Paragents receive compensation only for their educational or marketing services, not for closing referrals or investment contracts, staying within legal boundaries.

14. Are Paragents allowed to help financial professionals prospect for clients?

14. Are Paragents allowed to help financial professionals prospect for clients?

14. Are Paragents allowed to help financial professionals prospect for clients?

Yes, as long as their role is limited to lead generation and education, and they do not engage in solicitation, negotiation, or closing of securities transactions.

Yes, as long as their role is limited to lead generation and education, and they do not engage in solicitation, negotiation, or closing of securities transactions.

Yes, as long as their role is limited to lead generation and education, and they do not engage in solicitation, negotiation, or closing of securities transactions.

15. What documentation should Paragents keep to demonstrate regulatory compliance?

15. What documentation should Paragents keep to demonstrate regulatory compliance?

15. What documentation should Paragents keep to demonstrate regulatory compliance?

They should maintain contracts and invoices that clearly outline the scope of services (education, marketing, lead generation) and the basis for their compensation.

They should maintain contracts and invoices that clearly outline the scope of services (education, marketing, lead generation) and the basis for their compensation.

They should maintain contracts and invoices that clearly outline the scope of services (education, marketing, lead generation) and the basis for their compensation.

16. Why should Paragents avoid terms like “advisor” or “agent” in their marketing?

16. Why should Paragents avoid terms like “advisor” or “agent” in their marketing?

16. Why should Paragents avoid terms like “advisor” or “agent” in their marketing?

These terms suggest regulated activities requiring licensing. Paragents should use “educator” or “marketer” to accurately describe their non-advisory role and avoid confusion.

These terms suggest regulated activities requiring licensing. Paragents should use “educator” or “marketer” to accurately describe their non-advisory role and avoid confusion.

These terms suggest regulated activities requiring licensing. Paragents should use “educator” or “marketer” to accurately describe their non-advisory role and avoid confusion.

17. Are there circumstances in which a Paragent would need to register with the SEC or FINRA?

17. Are there circumstances in which a Paragent would need to register with the SEC or FINRA?

17. Are there circumstances in which a Paragent would need to register with the SEC or FINRA?

Yes, if a Paragent begins giving investment advice for compensation or participates in securities transactions, registration would be required.

Yes, if a Paragent begins giving investment advice for compensation or participates in securities transactions, registration would be required.

Yes, if a Paragent begins giving investment advice for compensation or participates in securities transactions, registration would be required.

18. What distinguishes payment per qualified lead from a commission for a closed investment?

18. What distinguishes payment per qualified lead from a commission for a closed investment?

18. What distinguishes payment per qualified lead from a commission for a closed investment?

Payment per qualified lead compensates for introductions or educational efforts, not tied to a securities transaction. Commissions for closed investments are transaction-based and regulated.

Payment per qualified lead compensates for introductions or educational efforts, not tied to a securities transaction. Commissions for closed investments are transaction-based and regulated.

Payment per qualified lead compensates for introductions or educational efforts, not tied to a securities transaction. Commissions for closed investments are transaction-based and regulated.

19. How do Paragents contribute to a culture of compliance in the financial industry?

19. How do Paragents contribute to a culture of compliance in the financial industry?

19. How do Paragents contribute to a culture of compliance in the financial industry?

By offering unbiased education and compliant marketing support, Paragents help financial firms engage ethically with the public and reduce regulatory risk.

By offering unbiased education and compliant marketing support, Paragents help financial firms engage ethically with the public and reduce regulatory risk.

By offering unbiased education and compliant marketing support, Paragents help financial firms engage ethically with the public and reduce regulatory risk.

20. Why is the Paragent model fully legal under FINRA, SEC, Blue Sky, and other local laws?

20. Why is the Paragent model fully legal under FINRA, SEC, Blue Sky, and other local laws?

20. Why is the Paragent model fully legal under FINRA, SEC, Blue Sky, and other local laws?

Because Paragents avoid regulated activities such as giving personalized investment advice or participating in securities transactions. Their compensation and activities are structured for compliance, focusing on education, marketing, and lead generation—areas not subject to securities licensing requirements.

Because Paragents avoid regulated activities such as giving personalized investment advice or participating in securities transactions. Their compensation and activities are structured for compliance, focusing on education, marketing, and lead generation—areas not subject to securities licensing requirements.

Because Paragents avoid regulated activities such as giving personalized investment advice or participating in securities transactions. Their compensation and activities are structured for compliance, focusing on education, marketing, and lead generation—areas not subject to securities licensing requirements.

AUTHORIZED SPONSOR PARTNERS

AUTHORIZED SPONSOR PARTNERS

AUTHORIZED SPONSOR PARTNERS