One of the most daunting tasks you face when changing broker/dealers is the process of transitioning your business. Maybe you’ve never changed broker/dealers or have only done it once or twice before.
As you begin the process, we are here to help you address issues related to new accounts, account transfers, compliance, operations and marketing services. We feel that guiding you and your staff efficiently through your transition period, while properly setting and managing expectations, is an intricate part in transferring your business as quickly and as efficiently as possible.
Making the Transition
Our goal is to take as much off your plate as possible, so you can dedicate yourself to attending to your clients.
The following list includes just some of the services we provide for you:
- We work with you to develop a customized timeline and transition plan that will best suit you and your practice.
- We proactively ensure that you are getting up to speed and are familiar with all of American Equity’s forms and procedures.
- We help you complete your initial licensing material, including the U-4.
- We provide personalized one-on-one training calls on how to process your business through American Equity.
- We track your client account transfers from start to finish.
- We offer Compliance-approved tools for you to use during transition (and after), so you don’t have to reinvent the wheel. These include our Stationery Program, Representative Web Site Program, Ad Templates, and Client Notification Letters.
- We provide support and training on every aspect of your business, from the day you decide to join until you have been on board for several months, with the goal of ensuring that you are comfortable and confident doing business through us.
- Timely approval of business cards, letterhead and other business related materials.
Don’t let the fear of transition keep you from making the right move for you and your business. We guarantee that once you go through your transition to American Equity Investment Corp., you’ll wonder why you waited so long!
Please see the attached Transition Guide for more information.
Transition Guide: Download