Business Card and Letterhead Guidelines The following pages include sample business cards and letterhead that cover most office scenarios for independent registered representatives. You may design the layout of your stationery, but please keep in mind that the text of the disclosures must be included verbatim on the face of your business cards and letterhead. If you plan to use the SWS Financial Services logo, you must duplicate the image exactly. You can download SWS Financial Services logos at www.swsfinancial.com. On the left side of the screen, click on General Information, then Logos. There are several color versions of the logo and four different types of files available. Your printing vendor will probably prefer to use an EPS file. Follow the special instructions to download the logo you want to use in the file format requested by your printing vendor. Be sure to provide the following color codes to your printing vendor Blue Pantone 293 R: 0 G: 71 B: 168 Black Pantone Black at 50% Screen R: 46 G: 43 B: 41 Approval Process and Turnaround Time: Because business cards and letterhead are a form of advertising, they must be approved before use. To obtain approval, submit a proof of your stationery to your OSJ Manager using the Advertising/Sales Literature Review Sheet at least 10 days before you plan to place an order. Once you have chosen a business card and/or letterhead: You will need to select a printing vendor. Have the vendor produce actual business card and letterhead proofs. Submit the proofs to your OSJ Manager via fax or email along with the completed Advertising/Sales Literature Review (ASLR) Form. The OSJ Manager will notify you in writing of approval or of any necessary changes. Keep a record of the approval and copies of the card and letterhead in your Advertising/Sales Literature file. You may then place an order with your printing vendor. Page 6 of 18
Business Card and Letterhead Frequently Asked Questions What fonts should I use on my business cards and letterhead? You may use any font you choose on business cards and letterhead. The examples used Times New Roman 8 point font. Disclosure fonts must be no smaller than 8 point. What titles am I allowed to use? The following titles have been approved for use by registered representatives: Registered Representative Investment Representative Financial Representative Investment Consultant Financial Consultant Investment Professional Financial Advisor Investment Advisor Representative (must have series 65 or 66) Can my staff use SWS Financial Services business cards? If you would like, your staff may also use approved SWS Financial Services stationery. Support staff must use approved titles that accurately represent their respective roles in your office, such as: Registered Sales Assistant (must be FINRA licensed) Registered Assistant (must be FINRA licensed) Administrative Assistant Office Manager Client Services There are several file types of the logo on the website. Which file type do I use? Most printing vendors prefer the.eps file format because it produces the clearest image and is usually the easiest for vendors to work with. Note that you will not be able to open an.eps file, but you can download and email it to your printing vendor. Be sure to follow the special downloading instructions on the SWS Financial Services website. Can I change the colors of the SWS Financial Services logo? You may not alter the appearance of the SWS Financial Services logo. You must use only the color and font schemes provided on the SWS Financial Services website. Page 7 of 18
Business Card and Letterhead Frequently Asked Questions -Continued Can I use a doing business as name to market financial services? Yes. DBA s must be submitted to your OSJ for approval before use. You will also need to provide evidence that you have filed the DBA with the appropriate local authorities. Can I include an e-mail address on my card? If you choose to include an e-mail address on your business cards and/or letterhead, you may only use your assigned SWS Financial Services e-mail address. Can I have my cell phone number on my business card? You may have a cell phone number on your business cards and letterhead, but the business card must also include the number of your Supervising Office. Do I have to send in a copy of my business cards and letterhead for approval? You must obtain approval for any advertising/sales literature before use, even if you decide to use one of our examples. Stationery is costly, so be sure that you have written approval from your OSJ Manager in your file before placing an order. Can I use a P.O. Box on my business card? Yes, as long as your P.O. Box address is accompanied by a physical address. What are the color codes for the SWS Financial Services logo? Blue Pantone 293 R: 0 G: 71 B: 168 Grey Patone Black CS at a 50% screen R: 46 G: 43 B: 41 Page 8 of 18
Following are examples of business cards and letterhead that include required broker-dealer and supervision disclosures. The information required for your cards will depend on whether you use a DBA, how your office location is registered and where your supervisor is located. Please note these abbreviations: DBA Doing Business As name OSJ Office of Supervisory Jurisdiction Use example one or two if you conduct business in an OSJ location: Example One Your Name Your Title Your Phone Number Your Fax Number Your E-mail Address Your Street Address Your City, State & Zip Example Two Your Logo Your Name Your Title Your Phone Number Your Fax Number Your E-mail Address Your Street Address Your City, State & Zip Offering general securities through SWS Financial Services, Inc. Page 9 of 18
- Continued Use example three or four if you conduct business from an address that is different from your OSJ Manager s address: Example Three Your Name Your Title Your Phone Number Your Fax Number Your E-mail Address Your Street Address Your City, State & Zip OSJ Street Address OSJ City, State Zip OSJ Phone Example Four Your DBA Logo Your Name Your Title Your Phone Number Your Fax Number Your E-mail Address Your Street Address Your City, State & Zip Offering general securities through SWS Financial Services, Inc. OSJ Address OSJ City, State Zip OSJ Phone Page 10 of 18
-Continued Use example one or two if you conduct business in an OSJ location: Example One OSJ Street Address OSJ City, State Zip OSJ Phone Page 11 of 18
- Continued Example Two Your Logo Your Address Your City, State & Zip Your Phone Offering general securities through SWS Financial Services, Inc. Page 12 of 18
- Continued Use example three or four if you conduct business from an address that is different from your OSJ Manager s office: Example Three Your Address Your City, State & Zip Your Phone OSJ Address OSJ City, State Zip OSJ Phone Page 13 of 18
- Continued Example Four Your Logo Your Address Your City, State & Zip Your Phone Offering general securities through SWS Financial Services, Inc. OSJ Street Address OSJ City, State Zip OSJ Phone Page 14 of 18