Transition Process

Every year more and more Financial Advisors are making the move towards independence with Equity Associates Inc.  Our goal is for each Financial Advisor to experience a smooth and stress-free transition process. Through years of experience and improvement, we have developed an effective broker/dealer transition process. We aim to assist our Advisors with moving their book of business to Equity Associates with as little disruption to your business and clients as possible.

What to expect from Equity Associates in the Transition Process

Compliance maintenance and coaching

  • Our dedicated Compliance team will keep you up to date with current MFDA requirements

 

Dedicated Partner Relations  Support

  • Our support team will be on hand to assist you with our innovated software
  • W.connect

 

License Transfer

  • Our Partner Relations team will assist you with your licensing to ensure you are compliant with industry regulations

 

Trading and Settlements Education

  • Our trading and settlements support staff will be on hand to help you with your trades ensuring the best investments are handled with care

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