Changing Broker/Dealers – Transitions through LaSalle St. Securities, LLC

Our team of experts has many years of experience helping registered representatives successfully change broker/dealers and transition their businesses to LaSalle St. Securities. The LaSalle St. Securities Transition Team will work closely with you every step of the way to manage the details of your affiliation, including:

  • Counseling you on how to prepare your practice for conversion.
  • Providing a plan of action, complete with an in depth timeline and checklist of items you’ll accomplish as you change broker/dealers.
  • Ensuring efficient account transfers by working with your current broker/dealer, clearing firm and product companies.
  • Coordinating the moving of your licenses to coincide closely with the transfer of your investment accounts.
  • Auditing your paperwork for accuracy to promote prompt processing and turnaround.
  • Offering complimentary, compliance-approved client brochures explaining your new relationship with LaSalle St. Securities Investments.
  • Obtaining approval of your new business cards, stationery, letters and other client materials.

Changing broker/dealers is an important decision. Our process is proven to help you enjoy a seamless transition with minimal impact to your business. Take comfort you’ve found the right fit with LaSalle St. Securities, LLC.

30 Days Prior to Transfer 14 Days Prior to Transfer Day of Transfer 14 Days After Transfer 30 Days After Transfer
Receive guidance on proper form completion Confirm date of transition Change voicemail to reference LaSalle St. Securities
Establish workflow schedule and timetable for transition Complete and submit appointment forms Change email disclosures to reflect LaSalle St. Securities
Complete and submit step-by-step Transition Kit Prepare resignation letter to current B/D (Sample letters provided in Transition Kit) Assist transfer of securities and insurance appointments
Prepare client and account lists Submit resignation to current B/D and notify LaSalle St. Securities
Coordination with current clearing firm and product companies to ensure efficiency Support and coordinate approval of business cards, stationary, and marketing materials for transition Update website with required changes or disable until approval received by Advertising Schedule thorough EOE demonstration with our experts to train office staff
If applicable, prepare mutual fund and annuity block transfer letters and process LaSalle St. Securities educates your team regarding LaSalle St. Securities procedures, compliance practices, trading operations and technology Meetings with clients to complete paperwork
Sales Supervision & Brokerage staff provide overview of business process Compliance-approved brochures provided to explain your relationship with LaSalle St. Securities to clients and staff
Introduction to available online services and integrated technology platforms
Prepare client transition paperwork
Address outstanding issues or concerns
Continued support throughout duration of affiliation with LaSalle St. Securities