Every year, more and more Financial Advisors are making the move towards independence with Equity Associates Inc. Our goal is for each Financial Advisor to experience a smooth and stress-free transition process. Through years of experience and improvement, we have developed an effective broker/dealer transition process.
We aim to assist our Advisors with moving their book of business to Equity Associates with as little disruption to your business and clients as possible.
What to Expect From Equity Associates
Compliance maintenance and coaching
Dedicated Partner Relations and Transitions Support
- Our Transitions team will meet with you for an initial assessment of your needs, explain our processes and procedures, and answer any questions you may have
- Our support teams will be on hand to assist and train you and your staff on our innovative software. We offer the choice of two different software platforms
Both systems are robust and offer several useful features, including a suite of modules available to you in order to help grow and maintain your business practice such as:
- Advisor Dashboard – helps you view your book of business quickly and target areas of potential
- Trade Basket – allows you to assess different trades to achieve the ideal plan risk composition and avoid possible Compliance issues
- Fund Facts – allows you to distribute regulatory mandated Fund Facts documents to clients easily and efficiently, while keeping an audit trail of the distribution
- Reporting – offers extensive reporting options for maintaining your book of business while assessing areas for potential growth
Trading and Settlements Education
- Our Partner Relations and settlements support staff will be on hand to help you with your trades, ensuring client accounts are handled with care
After your book is transitioned, you will benefit from our dedicated and continued support for the ongoing success of your business.