Waddell & Reed

Transferring Your Clients*

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 S-P and other applicable regulatory requirements, your current firm’s privacy policy and any contract/agreement you may have with your current firm.