Transition

Our thorough and disciplined transition process is a logistical daydream.

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Deciding to move firms and going through the process are two very different mental experiences. Get seamless, comprehensive and disciplined assistance from our transition team so you can focus on your clients.

“I knew transitioning firms would be a challenge, but the effort was totally worth it. Now I can work with any client, at any net-worth level, in markets that I truly care about.”

-- Independent financial advisor now affiliated with Waddell & Reed


“It was a giant step to transition from the wirehouse to being fully independent. Now that I’m here, and now that my clients are here, I know it was the right decision – for all of us.”

-- Former wirehouse financial advisor now affiliated with Waddell & Reed

How long have you thought about moving firms?

Perhaps now’s the time to take the next step for you and your clients. Complete our questionnaire and a member of our team will contact you to start the conversation.

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Relax knowing our turn-key process will get your business up and running smoothly

A turn-key, high touch approach is optimal for a smooth transition. A transition specialist will partner with you to coordinate resources, remove obstacles, answer questions and lead you through every step of the process, including:

Pre-activation
Your transition specialist will coordinate the review of your business mix, existing contract, outside business activity or other special circumstances. Your specialist also will help navigate the timing of your resignation and affiliation and ensure compliance with Regulation S-P.

Transfer of licenses
Our licensing professionals will expedite the transfer of your registrations, ensuring the process complies with ever-changing FINRA and state policies and procedures.

Transfer of clients
To ensure a seamless transition for your clients, we provide approved client communications and transfer paperwork and handle the mailing to your clients. Our brokerage operations team steps in to trouble shoot issues and offer tips for transferring accounts.

Office set up
When it’s time to set up your office, you’ll receive assistance with location, furniture, supplies, electronics and communications.

Connecting with business development and sales support teams
Meet with our business development and sales support teams to map out sales and product strategies, identify opportunities to grow your business and learn about professional development programs.

Technology training
Learn about the options available in the technology suite and receive training based on how and when you want to receive information.

Compensation and benefits overview
Your Managing Principal will review and explain your compensation package and help ensure that you maximize your income potential.

Transition

Moving firms is a milestone.

A smooth transition gives you confidence in your decision. Talk to us about your transition questions, and we'll help set your mind at ease. 

Contact us Today

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