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    FINRA REGISTERED REPS

    Quivergy Brokerage

    Series 6, 7, 22 and 63 business supervised by a broker-dealer.

    Is this an outside business activity?

    Most broker-dealers treat it as one under FINRA Rule 3290. Disclose it before you start.

    Can I talk about variable annuities, mutual funds or options?

    Only within your firm's supervision. Quivergy explains concepts; recommendations stay under your Reg BI process.

    Does Quivergy trade, hold money or take custody?

    No. Quivergy is education, planning and household organization. Trades, policies and transfers stay with your firm, carrier or custodian.

    Is Quivergy approved by FINRA, the SEC or my firm?

    No regulator approves platforms like this. Your own firm reviews and approves your use. Quivergy gives them the materials and this checklist to do that review.

    How is client data protected?

    Encrypted storage, account-level access controls, and no sale of client data. We provide a security summary for your privacy (Reg S-P) review.

    How does branding work?

    Quivergy red stays, with your practice logo beside it. Your firm's advertising review covers the co-branded pages.

    You're a financial professional. Why are you here?