How to Prepare for Transitioning to a new Broker Dealer

Transitioning your financial services business to a new broker/dealer is can cause stress and uncertainty. As an experienced independent broker/dealer, SII Investments understands. Our experienced transition team is dedicated to working with registered representatives every step of the way, providing you with the tools, training, and resources you need to feel comfortable operating your business as a partner with us.

Get to Know Your Broker Dealer

Building a strong, personal relationship from the beginning with your new broker/dealer is the key to a successful transition. Establishing a rapport allows you, as the affiliated financial representative, to feel comfortable approaching your broker/dealer with any and all questions. They are your main point of contact and your partner, ensuring your business is compliant with financial industry standards and operating to its fullest potential. In addition, you'll set yourself up for great success with training and development. The team at SII offers an extensive level of transition support, adapting business development and training to the individual registered representative's needs.

Choose a Broker Dealer with a Strong Internal Culture

When you are preparing to transition broker/dealers it is important to choose a firm that has a strong internal culture rooted in respect, support, and success. This will ensure that your transition as an affiliated representative will go smoothly. A broker/dealer team that has a robust culture, allows you to access 360 degree support for any question or concern you may have about your financial services firm. Not only does SII Investments provide great service to its registered representatives, they take pride in their work that is based on service, innovation, and integrity. The SII team helps build a cohesive partnership through every step of the transition process, so you can feel confident in your broker/dealer partnership.

Select a Broker Dealer That Offers a High Level of Training

Looking for a broker/dealer that offers a high level of training is an important aspect when you are preparing to transition your financial services business. Your long-term success will be determined on the level of training that you receive over the course of your transition process. There are many advantages to choosing your broker/dealer based on their training program, some of which include:

  • The speed and time of transitioning your existing clients over
  • Understanding the broker dealer's terminology and expectations
  • Learning how to use different practice management tools
  • Business-model specific training tools

SII Investments not only offers a high level of training during your transition process to our independent broker dealer, we are dedicated to providing on-going training and enrichment programs to our registered representatives and their support staff.

Become a Registered Representative with SII Investments!

Grow your financial services firm by transitioning broker dealers and joining SII Investments. The SII team is dedicated to supporting its registered representatives through the entire transition process and beyond, including education and training, tech solutions, and financial advisory support. Discover the opportunities available when you join the SII team by contacting us today.