TRANSITIONS

Our Transitions team provides comprehensive support beginning with the initial onboarding and continuing for 60 days post-resignation. We work with the advisor and guide them through the entire transition process.

AT-A-GLANCE

• Coordinate the transition process between RIA and broker/dealer

• Provide license transfer and carrier reappointment support

• 60-day on-site and virtual post-resignation support, including account opening and tracking

• Provide comprehensive systems and platform training