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Technology
Transition Support
 Let our team help make the transition from your current
 broker/dealer an easy one

One of the biggest concerns brokers have when changing broker/dealers is the process of transitioning their business. We feel confident that nobody else in the industry understands this better and supports you more in the process than LifeMark Securities Corp.

We have successfully helped other brokers with this process.  Our transition team will tell you what you can expect during transition, and recommend the processes that will work best for your individual situation.

They will support you during your early months and help you become familiar and comfortable with LifeMark's procedures, policies, staff, and of course our resources.  The various support you can expect and for which you will have an immediate need includes:

  • Licensing
  • Compliance
  • Trading
  • New Accounts
  • Transfer of Assets
  • Asset Management
  • Commissions
  • Recruiting and Transition

Your personal transition coordinator will be the primary contact who will oversee your entire transition process.The following list includes just some of the services that we will provide you:

  • We work with you to develop a customized timeline and transition plan that best suits you and your practice.
  • Help get you up to speed and familiar with all of LifeMark forms and procedures.
  • Help you complete your initial licensing, including the U-4.
  • Provide one-on-one training calls on how to process your business through LifeMark.
  • One-on-one Web tours so you become comfortable using our tools.
  • Track your brokerage account transfers from start to finish, including your transfer paperwork, if it is in good order or what is needed to get it that way, arrival of individual assets, and transfer's completion.
  • Compliance-approved tools for your use during transition (and after), to eliminate trying to reinvent the wheel.  These include Stationery/Business Card Program, Representative Website Program, Ad Templates, and Client Notification Letters.
  • Provide support and training on every aspect of your business, from the day you decide to join us, until you are comfortable doing business through us.

Please don't let the fear of transition keep YOU from
making the right move for your business!

 

 

 

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800.291.7570

NAIFA
400 West Metro Financial Center Rochester, NY 14623 | 800.291.7570
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