Transitioning your practice

Changing broker/dealers doesn’t have to be a bigger hassle than it’s worth. When you join Raymond James, we take every step to ensure a smooth, seamless transition. Once you commit, our Transitions team will proactively manage the details from start to finish – down to monitoring the final client account transfer – allowing you to continue with business as usual. Our devoted professionals will guide you through the following steps:

Preparation

• Develop a customized timeline that includes a target date for your official transition to Raymond James.

Organization

• Gather all necessary paperwork for the eventual transfer of your clients’ accounts to Raymond James.
• Obtain appropriate licensing and insurance coverage, being sure to clear any related issues through Raymond James Compliance.

Orientation

• Set up all technology, supplies and communication infrastructure in your office, providing orientation on the many new resources at your staff’s disposal.
• Design and deliver customized marketing collateral – including stationery, letterhead, press releases, ads and more – to promote your affiliation with Raymond James and educate clients on how they will benefit.

Affiliation

• Deliver official termination notice to your current broker/dealer.
• Provide ongoing support and consultation to ensure you and your staff are completely comfortable with all new tools and processes.