One of the most challenging tasks you face when changing broker dealers is the process of transitioning your book of business.  If any firm tells you differently, you should be suspect.  Mutual Securities believes, however, that we understand and manage this process better than our competitors.  Our transition team is constantly transitioning advisors to our platform and refining the process.   THEY WILL LISTEN TO YOU and develop a customized transition process that will work best for you while at the same time properly manage your expectations. 

Beginning several weeks prior to your transition, a Mutual Securities transition specialist will be assigned as your main point of contact and will act as a conduit between you and the various operational departments within Mutual including licensing, trading, new accounts, cashiering, commissions, and products.   Unlike most firms, and true to our dedication of personalized service, one of the firm's principal owners will serve alongside your assigned transition specialist to maintain quality control and resolve issues.  Together, they will support you during the first months as you become familiar with Mutual's policies, procedures, staff, and resources.  The services they will provide include, but are not limited to:

• Pre-populate all necessary client account and transfer paperwork while maintaining adherence to "Broker Protocol" and Regulation S-P.
• Customized timeline and transition plan that will best suit your practice
• Online and/or onsite systems training
• Licensing
• Creation and approval of letterhead, business cards, and client announcement letters
• Monitoring account transfers (ACAT) from beginning to end

The fear of transitioning your book should not keep you from making the right move for you, your business, and your clients.  We stand ready to transition your book.  Do you?