Transition

Once you’ve made the decision to join WealthPlan Financial, you won’t be on your own. You’ll benefit from the knowledge, resources and unwavering support of our team as well as the broker-dealer’s (subject to production requirements). A dedicated transition consultant will guide you through each phase of the onboarding process, from beginning to end, making sure your successful practice continues running smoothly. Here’s what you can expect during the transition process.

Pre-transition Planning Phase

30-45 days prior to transition – We’ll take the time to learn about your business (including your staffing and training needs) and create a customized transition plan. Your personal transition consultant can answer your initial questions and provide training on transferring your client accounts and using our state-of-the-art technology.

Transition Phase

Days 1– 45 of transition – Your dedicated transition consultant will facilitate re-appointment for carriers and monitor the status of client account transfers. Specialists will be assigned to you for support with key transition needs, including registration, investment advisor products and services, administrative support, and business practice needs.

Post-transition Phase

Days 45–90 of transition – Your transition consultant will also work with you to ensure your client accounts have transferred, and introduce you to our available resources, such as marketing, financial planning, practice management and continuing education opportunities. When the transition process ends, you’ll have a complete support network ready at your fingertips.