Transition Process - Cape Securities - Financial Concierge Services

Transition Process

Three simple steps to set sail

Your Personal Transition Specialist (PTS) will help map the course of your transition so that you are aware of mission-critical items on your transition timeline. Your PTS provides key transition services to ensure minimal downtime and address your questions and unique needs. Setting sail with Cape involves 3 simple steps:

GATHER
Set a target transition date

Gather client statements and account information

Complete transition documents
SETUP
Set-up transition “Kick Off” call

Determine technology platform logins

Website walk-through, transfer forms, new business forms, and disclaimers

Order stationary and business cards
FINALIZE
- Deliver resignation letter to former broker-dealer
- Compliance-approved letter informing clients of your move
- Update insurance license and state registration appointments
- Transfer your clients to Cape Securities