Your Business Growth Experts
We help advisors grow, protect and perfect their practice so they can provide the very best advice to their clients on all life’s money matters.
State-of-the-Art Transition Processes Personalized to meet Your Needs
Transition of an advisor’s practice to a new broker-dealer can be challenging and it takes time. If any broker-dealer is telling you otherwise, beware. By understanding that it’s a big job to move your practice and all of your clients, Securities America is committed to taking the steps necessary to ensure your transition is as seamless and easy as possible. Click here for a glimpse at our transition timeline and what you can expect.
You will have a personal transition consultant to work with you, coaching you on the best practices of transition. You will be able to take advantage of our state-of-the-art paperless on-boarding system to streamline your move. Every effort is taken, working with every advisor to ensure the best experience possible.
The unforeseen can, and does, happen.
Planning for both succession and the unexpected is vital. Scott Briganti discusses transition concerns when transitioning and how Securities America can help.
Unrivaled Paperless On-Boarding for New Advisors
Joining Securities America is a simpler, faster on-boarding process thanks to a completely paperless online system that replaces ink signatures and fingerprints with electronic versions. Securities America’s system pulls information from the company’s internal databases as well as FINRA’s CRD application to prepopulate forms for advisors to review online and correct or confirm. A built-in tracking feature provides the status of each document, avoiding redundancies or overlap between Securities America staff and the prospective advisor.
With dynamic questioning, the answers to certain questions trigger which additional questions the prospective advisor must complete. The system also performs automatic completion checks to ensure the advisor hasn’t missed or skipped a response. The automated on-boarding system is just the latest addition to a more comprehensive paperless office solution promoted by Securities America over the past several years.Previous Page