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Seamless Transition

A successful transition allows business to continue “as usual” during the process. Our advisors are guided by experience, careful listening, attention to detail, and a high-touch service approach.

We Sweat the Details, So You Don’t Have To

A Transition Coordinator will be assigned to assist you with every detail during this time. They will be your liaison to every professional at the home office. Our strategy consists of structured guidelines and procedures combined with flexible points that are customized for your individual needs.

This approach results in minimal business disruption and a focus on the satisfaction of your clients.

Three Simple Stages

We make your transition as easy as possible. We have years of experience helping advisors just like you successfully navigate the process.

Stage I

  • Complete and Return the Transition Questionnaire and Technology Questionnaire (if applicable)
  • Set a target date
  • Begin gathering client statements (depending on your company's privacy policy)
  • The Transition Coordinator will offer assistance with a compliance-approved letter notifying clients about your move (if applicable)

 

Stage II

  • Set up Pre-hire Training and Education Webinar. The Transition Coordinator will tailor training to your specific business model. 
    • Set up technology and order stationary supplies
    • Review licenses and insurance appointments
    • Review products
    • Review transfer forms
    • Review Advisor website 

 

Stage III

  • Deliver resignation letter to current/former broker/dealer
  • Welcome to ProEquities – The Transition Coordinator will continue their support to ensure you and your staff are comfortable with the new processes and technology offerings.
    • Reappointments and licenses are requested and transferred to ProEquities
    • A representative number is assigned
    • Begin populating new account forms as well as change of dealer forms