One of the most daunting tasks you face when changing broker/dealers is the process of transitioning your business. We believe nobody else in the industry understands this better and supports you more in the transition process than Commonwealth.

Maybe you’ve never changed broker/dealers or have only done it once or twice before. We do it every day. Our 30-person Transition team has successfully helped hundreds of brokers join Commonwealth. They’ll do the thinking for you, tell you what you can expect during transition, and recommend the processes that will work best for you.

They’ll support you during your first months and help you become familiar and comfortable with Commonwealth’s policies, procedures, staff, and resources. Team members hail from those departments of which you’ll have an immediate need:

• Licensing
• Compliance
• Trading
• New Accounts
• Transfer of Assets
• Retirement
• Asset Management
• Commissions
• Service Center
• Cashiering
• Recruiting and Transition

• 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 Commonwealth’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 Commonwealth.
• We offer one-on-one Web tours so you’re comfortable using our tools from the start.
• We track your brokerage account transfers from start to finish, including our receipt of your transfer paperwork, whether it is in good order and what is needed to get it that way, the arrival of individual assets, and the transfer’s completion.
• 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.