We recently split with our super anal broker-dealer. I got a call from our up line who told me that all of our agent files with the old broker-dealer were no longer allowed to be in our office. They had to be returned to the agent or shredded. Oh, and by the way... an auditor is going to show up within the next couple of days to make sure that it's done. Thanks for the timely warning!!
After we gathered up all of the files, it came to about 350-400 files. I have to log each of them and none of the agents want their old files so I get to shred them too. Our rinky-dink shredder only takes like, 3 pages at a time. Times that by 350 files, with an auditor on the way and I'm in trouble. At least in the long run, it makes my job WAY easier - but in the short term I'm looking at a mountain of paperwork. Lucky me.
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