At First Allied, we understand that changing firms may be a tough decision to make and can be a complicated process. To support you in this transition, we have a dedicated Transition department that is trained to assist you with everything from client paperwork to orienting you to the wide range of products and platforms available at First Allied.
Our experienced staff aims to provide you with the utmost professional, accurate and efficient customer service. We realize that transitioning firms is an ongoing process and are committed to providing you with continuous support, guidance and training until you become fully acclimated to First Allied. The transition process is just the beginning of our long-term commitment to you.
During your transition you will not only have the entire Transition department available to assist you, but you will also be assigned a Transition Coordinator and a Transition Specialist as your primary points of contact. Your Transition Coordinator will choose a customized transition plan and timeline that best suits your business needs. Your coordinator will also provide information about products and platforms available to you, coordinate training and technology access, and offer solutions to re-paper your client accounts (depending on your current broker/dealer’s privacy policy).
Your Transition Specialist will provide one-on-one guidance regarding opening new accounts and completing forms, assist you with operational questions, review documentation for accuracy and assist in moving your book of business.
In addition to the Transitions department, a cross-functional transition team comprised of skilled individuals across multiple First Allied departments meets regularly to address issues pertaining to transitioning advisors such as upcoming service enhancements and industry regulation changes.
Your Transition support team will coordinate education on the following topics, and more:
| •. | The role of all First Allied departments |
| •. | Internal procedures, policies and requirements |
| •. | First Allied’s fundamental systems necessary to conduct your business |
| •. | Technology and applications available to you |
| •. | FINRA’s regulation S-P and the protocol for broker recruiting as it relates to the timing of transferring your book of business |
| •. | Orientation to the wide range of products and platforms available at First Allied |
| •. | Processing of incoming account transfers to ensure efficient transition of your clearing firm business |
| •. | Review of all inbound account documentation and notification to your branch regarding any items of concern |
| •. | Implementation of our technology and applications |
| •. | Coordination with the Insurance department to connect you with insurance or annuity sponsors with whom you conduct business |
| •. | Liaison service to all First Allied departments while you become acclimated to the firm, leveraging internal subject matter experts as necessary |
| •. | On-site support as needed (terms should be discussed with your Branch Development Consultant) |
