THE TRANSITION

PROCESS

Once we have received your completed Transition Kit, you will be contacted by the Investacorp Transition Specialist. Together, you will review the paperwork prior to submission to our Compliance department. It is important that requested documents and/or forms are completed and forwarded to Investacorp on the same day to not delay the process. If the Transition 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.)

Phase I: Registration

  • Complete Investacorp questionnaire.
  • Meet your Transition Specialist.
  • Review registration and client fees.
  • Complete registration paperwork.
  • Complete appointment paperwork.

Phase II: Preparation

  • Review technology requirements.
  • Organize client data.
  • Attend training seminars.
  • Discuss new website or websites transfer.
  • Finalize your target date.
  • Prepare resignation letter.

Phase III: Resignation

  • Submit your letter of resignation.
  • Submit any stationary/marketing for compliance approval.
  • Become FINRA approved.
  • Become state approved.
  • Access to Investalink and Streetscape.

Phase IV: Affiliation

  • Establish staff access and workflow.
  • Conduct client meetings.
  • Continue training seminars.
  • Reconcile moved accounts and compensation..
  • Participate in conferences and programs.