Day Investacorp Kit is received

Once we have received your Investacorp Kit, you will receive a call from Jessica Chano, Investacorp's transitions specialist. The paperwork will have been reviewed. If there is anything missing or incomplete she will let you know before forwarding file to Compliance. It is important that documents are completed and faxed back same day to not delay the process. If the kit is received all in good order, the file is forwarded to compliance for same day review. (Time Frame: 1-3 days depending on response from Registered Representative.)

File Returned from Compliance

Once the file has been reviewed by Compliance with feedback, there may be additional documents or requests that Compliance may have. At this time a phone call will be made to let you know if there is anything Compliance is requesting, and if Compliance has already approved your DBA name and website it will be requested for you to please fax over the Branch Office Request Form. Once we receive any necessary documents and the Branch Office Request form. File is presented again to Compliance.(Time Frame: 1-3 days depending on response from Registered Representative.)

Approval

Once file has been re-reviewed by compliance for additional documentation and the Branch Office Request form, U4 is signed and approved. If file is received with additional request, phone call will be made. If everything is in good order we will advise that everything has gotten approved and that we will be transferring your licenses to Investacorp. If you are currently with a broker dealer, before we transfer licenses we will need a copy of letter of resignation you provided your previous firm. Your securities license can generally transfer via the re-licensing system in one day. Florida, Louisiana, Maine, North Carolina, Ohio, Tennessee, and Vermont, however, may take two to three days. If you have any disclosures on your U-4, the process can take considerably longer. If everything is approved same day Investacorp Contract will be faxed over and requested that each page be initial and last page signed. Once we receive Investacorp Contract signed and faxed a rep number will be issued, and a phone call will be made to let you know the rep number and to schedule your orientations.(Time Frame: 1- 5 days depending on states, disclosures, and response from Registered Representative.)

Turnaround registration time is 2 days (48hrs). However this depends on the response from Registered Representative and FINRA.

Once on board your transitions specialist will schedule orientations for you and your staff with the following key departments:

Technology Account Services Compliance

Advisory Marketing Trading

Training is offered for all financial advisors and sales assistants. To request a personalized training classes, please contact Daniel Paz in the Business Development department.

Once we have received your Investacorp Kit, you will receive a call from Arielle Jaffe, Investacorp's transitions specialist. The paperwork will have been reviewed. If there is anything missing or incomplete she will let you know before forwarding file to Compliance. It is important that documents are completed and faxed back same day to not delay the process. If the kit is received all in good order, the file is forwarded to compliance for same day review. (Time Frame: 1-3 days depending on response from the financial advisor.)