Making the Transition

Start-to-Finish Transition Services and Support

Your transition begins when you commit to National and continues well beyond the client account transition. You will be supported by a team of professionals that will walk you through the onboarding and registration process from start to finish.

A dedicated Transition Coordinator will spend time getting to know you and your practice. They will work with you to develop a comprehensive onboarding strategy and a customized timeline with tangible deliverables, including:

  • Registration documents & fingerprinting
  • State licensing, special designations & insurance appointments
  • Approval of titles, business cards, letterhead and signage
  • Policies and procedures (walk through- protocol firms/non protocol firms)
  • Needs assessment Discussion (parameters for new location and equipment needed)

We understand how important it is to get this right so you can take your business to the next level of success. We look forward to working with you!

Your Recruiting and Transition Team

Transition Timeline

Day 110%

10% Complete

You’ve agreed to Terms & made your commitment to National. Next you’ll meet your Transition Team to develop a specific plan around your individual needs.

Days 5-1020%

20% Complete

 Advisor Onboarding Begins

  • Establish Protocol/Non-Protocol procedures & Privacy Policy assessment to initiate plan
  • Receive onboarding & registration paperwork, fingerprints and licensing setup
  • Discuss & complete needs assessment of all hardware, software, location, communications, signage and marketing

Days 10-2030%

30% Complete
  • Execute agreements and define account transfer strategy with your Transition Team
  • Work with your Transition Team to create your transition packages for your clients

Days 20-3040%

40% Complete
  • Onboarding Manager to walk you through signing of Affiliation paperwork and final preparation for Registration date
  • Transition Manager to schedule training on all systems (Hardware, software, communications, etc.)
  • Initiate and establish Insurance and Annuity Appointments, if applicable

Days 30-3550%

50% Complete

Day 30: Officially Partner with National!

Client Transition Begins

  • Onboarding submits Registration package to start transfer of licenses to National and Resignation has been submitted
  • Send out client announcement to inform of BD change. This mailing will include transfer application documents and all additional documentation based on client accounts
  • Receive user access credentials to all appropriate systems

Days 35-4065%

65% Complete
  • Collaborate with your Transition Manager to begin the new account opening and transfer process
  • Monitor change of broker/dealer requests and review of client account applications
  • Team to provide Management Introduction and Welcome

Days 40-4580%

80% Complete
  • Meet the Practice Management and Solutions Teams:
    • These teams will help you adapt and grow your business with the right focus to highlight and personalize what you do for your clients
    • The Solutions Team is also the concierge service for all of your needs. They are your “go to” for access to all departments

Days 45-6090%

90% Complete
  • Complete account service integration and post education training on all products/platforms and internal polices & procedures
  • Continued follow up on all Asset transfers & Client documentation

Day 90100%

100% Complete

Celebrate your successful transition and new partnership with National.

We look forward to see what the future has in store for us!

Ready to Get Started?