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TRANSITION

Make your move

A supportive transitionFROM THE
BEGINNING

Many financial professionals hesitate to switch platforms, fearing that the process is too complicated or cumbersome. But hesitation can damage any business. We know this is a big decision; that’s why we work with you personally every step of the way.

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“Making a transition can seem difficult at first, but with the right attitude, the right partner, and a strategic plan in place, it could be the best decision you ever make for your business – and for your clients.”


-Daniel Schwamb, Senior Vice President,
Business Development, Kestra Financial


WE SIMPLIFY THE
TRANSITION PROCESS

We want your transition to Kestra Financial to be as easy and smooth as possible. We develop a strategy, provide tools and training, and move your book of business. Your transition consultant also coordinates with key members of our support teams to cover every aspect of your transition. This process ensures maximum client retention and opportunity for new growth.

  • Number 1Develop a Transition Strategy

    We factor in timing, compensation payments, and client communication as your onboarding team helps develop a comprehensive strategy and schedule.

  • Number 2Inventory Your Business

    Your consultant will guide you through taking an inventory of your client accounts and note any additional features your clients are using to help create a seamless client experience.

  • Number 3Prepare Client Paperwork

    Your onboarding team trains you on the paperwork required to move your business, and our integrated technology solutions make it easy to populate the required paperwork. We can also develop a plan to make your transition paperless.

  • Number 4Business Processing

    Your onboarding consultant will facilitate your registration with FINRA, and once you’ve obtained client signatures, Kestra Financial will establish all accounts, submit transfers and follow up through receipt of assets. Our team also tracks licenses and appointments, and they’ll keep you informed with status updates.

  • Number 5Training

    We offer robust training to maximize your long-term success. With financial professional and staff-centric training, our goal is to get your firm back to business as usual as quickly as possible.

A reliable independent broker dealer, Kestra Financial provides a supportive transition from the very beginning

Don’t Let the First Step Stop You

We know transitioning to a new financial services platform feels like a big leap. And it is. But with Kestra Financial, you won’t be doing it alone. We treat every transition uniquely, and our dedicated consultants offer individualized strategies for success. If you’re ready to take that step forward, we are ready to help.

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