Healthcare Benefits

Registered Representative Transitions

A Smooth And Efficient Transition Is The Key
To Retaining Your Clients And Accounts.

At WFG, we recognize that transitioning your business to a new broker/dealer can be overwhelming.The WFG Transition Team works with your team to develop the best strategy and customize a timeline with tangible deliverables.  As soon as you are ready to transfer your accounts to WFG, our team serves as your project manager to facilitate introductions and resolve issues.

Components of a Transition 

  • Licensing and registration processing
  • Client account paperwork preparation
  • Integration into WFG systems
  • Establish insurance and annuity appointments
  • Oversee new account opening and transfer of assets
  • Monitor change of broker/dealer requests

Breakdown of A Transition (60 to 90 days)

Preparation | 30 days prior to U-4 date

  • Strategy sessions
  • Complete licensing and set up paperwork
  • Client list preparation
  • Client applications preparation
U 4
  • Coordinate licensing /registration on Central  Registration Depository with Williams Financial Group
  • Provide WFG user access information for all current integrated systems
  • Begin processing account applications and change of broker / dealer requests.
  • Initiate insurance and annuity appointments
Transfer of Assets  | 30 to 60 days
  • Continued submission and review of client account applications and change of broker dealer requests.
  • Monitor transfer of assets to clearing platform
Assimilation
  • Orientation and training
  • Introduction to Relationship Manager (RM),  Regional Director (RD) and Client Services Specialist (CSS) 

Your Transitions Welcome Kit Includes:

  • Licensing and Registration Forms                                                          
  • Fingerprint Cards
  • Optional Group Health Insurance Benefits
  • List of Mutual Fund Companies
  • E&O Insurance
  • Frequently Asked Questions
  • WFG Contact List and Overview
  • Office Books and Records Set-Up