Transferring client assets is the most important part of transition and requires
the attention to detail of a deft, experienced hand. This will represent your clients'
first experience with Waddell & Reed and we are committed to making it a smooth
and seamless process.
Brokerage Operations Services
- Track ongoing receipt of paperwork and assets
- Coordinate ACAT and non-ACAT activity
- Tips for account transfers
- Trouble shoot issues before they become problems
Preparation of Client Communication and Transfer Paperwork
- Approved client information/data
- Cover letter, client instructions
- Form preparation as allowed by your contracts/agreements
- Check writing/Corestone application
- Mailing executed by Waddell & Reed
*Transition activities are subject to Regulation
any contract/agreement you may have with your current firm.