Transition Process

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

  • Our dedicated Compliance team will keep you up to date on:
    • Current MFDA requirements
    • Dealer Policies and Procedures
    • Industry Best Practices

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

Client Transfer

  • Our Transitions team will assist you in communicating with your clients for increased transparency
  • Our Information Technology team will assist you with re-papering and transferring clients using your existing client data

License Transfer

  • Our Registrations team will assist you with your licensing to ensure you are compliant with industry regulations

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.

Transition Success

Transition Provess

At Equity Associates Inc., we believe that exceptional Financial Advisors achieve greatest results when they control their own destiny