Make the Move

Changing broker-dealers isn’t as difficult as most advisors fear it can be. The key to a seamless CreativeOne Securities transition is planning. And, the more time you spend on the front-end, the easier the transition process. Generally, your transition follows a basic process:

1. Take inventory of your practice.
2. Organize your business – processes, files, etc.
3. Align milestones with dates.
4. Review your client database (CRM).
5. Set termination date and new registration with Client One.
6. Processing clients – account paperwork.

We’re here to help guide you during the move and help eliminate downtime. Transitions are multi-faceted, so our onboarding team will collaboratively work with you and your team to navigate registration, licensing, compliance and operations.