What to Expect When You’re Expecting to Change Broker/Dealers

The leap into the unknown is always a scary proposition. Unfortunately, the hesitation to switch broker/dealers has kept many advisors from seizing their dream of becoming independent and asserting more control over their future. The process of moving a financial advisor from his or her current broker/dealer to a new one is substantially similar from […]

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What to Expect When You’re Expecting to Change Broker/Dealers

What to Expect When You’re Expecting to Change Broker/Dealers

The leap into the unknown is always a scary proposition.

Unfortunately, the hesitation to switch broker/dealers has kept many advisors from seizing their dream of becoming independent and asserting more control over their future. The process of moving a financial advisor from his or her current broker/dealer to a new one is substantially similar from one broker/dealer to the next. However, where the new broker/ dealer truly distinguishes itself is in the commitment, resources and human talent it makes available to a financial advisor to ensure a smooth transition and the ongoing support it provides post-arrival.

Conquering the fear of change starts with two simple steps:

  1. Increasing an advisor’s personal comfort level with changing broker/dealers by gaining an understanding of what the process entails and how it will unfold
  2. Working with a trustworthy broker/dealer

In this white paper, “What to Expect When You’re Expecting to Change Broker/ Dealers”, we seek to raise advisors’ comfort level with making such a change by acquainting them with what they can expect when moving to a new broker/dealer, what to do before resigning from a current broker/dealer, key questions to ask before beginning any transition and tips to ensure that a transition to a new broker/dealer is a seamless one.

Download the Full White Paper Here

About The Author

Bill Betz

 

Marketing Communications Coordinator 
631.439.4600, ext. 180 

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