1-800-345-8041
MENU

Transition

We are dedicated to helping you transition

We believe there is no other Broker-Dealer in the industry that understands and supports you more in the transition process than The Investment Center. Our team of experts makes seamless transitions possible for our new representatives every day, and we can do the same for you.  The transition process can be both challenging and exciting, but you’ll know you made the right decision every step of the way.

We understand that guiding you and your staff efficiently through your transition period, while properly setting and managing expectations, is an intricate part in transferring your business as quickly and as efficiently as possible.

– Nicole Johnson

A Defined Transition Process – Tailored To Your Needs

The three-stage process used is designed to assist you in your transition from start to finish and is tailored to your needs.

 

Planning Stage:  

  • Introductory call with your Transition Coordinator to fully understand your business
  • Plan the strategy to develop a customized timeline and plan best suited to you and your practice
  • Registration assistance from completing the registration kit, U4, and company appointment forms
  • Coordinating timely approval of business cards, letterhead and other business related materials
  • Providing training for TIC’s policies, procedures, forms and technology
  • Ongoing transition team conference calls

 

Transition Stage:

  • Submit your U4 registration for FINRA approval once you’ve resigned with your current firm
  • Submit product reappointment forms for current and new business
  • Enable all website and technology tools including further training
  • Assist in completing initial compliance requirement
  • Ongoing transition team conference calls to address any questions or concerns

 

Support Stage:

  • Submitting and tracking account transfers from start to finish
  • Conduct continued training as needed
  • Introductions to other TIC support groups
  • Daily updates on your account transitions

"When we met with The Investment Center we immediately felt comfortable. It felt like family, and was obvious that we were becoming a part of something. We had a successful transition thanks to the dedication of the staff."

- Rob R. & Joyce C.

 
​These testimonials may not be representative of the experience of other customers and there is no guarantee of future performance or success.