TRANSITIONS

WHEN SHOULD I NOTIFY MY “CURRENT” FIRM OF MY RESIGNATION?

You should notify your “current” firm before you join WIS to avoid double registration. Once you have submitted your resignation to your firm, a copy should be sent to WIS so we can immediately begin your registration process.


WHO WILL BE MY POINT OF CONTACT DURING MY TRANSITION?

A Transition Specialist will be assigned to you as soon as you are registered with WIS. You will also be assigned a Back Office Lead Contact who will work with you on transitioning your accounts.


IS THERE A COST FOR ME TO MAIL THE NEW ACCOUNT TRANSITION DOCUMENTS TO MY CLIENTS?

WIS will cover the preparation and mailing of the account transition paperwork to your clients. Requests to overnight paperwork to a client will be approved on a case-by-case basis.


WHO DO MY CLIENTS RETURN THEIR DOCUMENTS TO?

Clients will return their documents directly to you in self-addressed return envelopes that are provided by WIS.

WIS will provide you with overnight UPS labels so that after you have reviewed the documents for completeness and have signed them, you can forward them to WIS for processing.

It is important that you make sure all applications are complete and the information is correct so our back office can open your clients’ accounts without delay.


HOW LONG DOES IT TAKE FOR THE ACCOUNTS TO TRANSFER?

Once the account has been opened, the account transfer takes 7 to 10 business days. See the Operations Department’s Frequently Asked Questions for additional information regarding account transfers, new accounts, etc.


WILL WIS COVER THE TRANSFER FEES INCURRED BY MY CLIENTS?

WIS will cover some of the transfer fees. The number of accounts covered will be determined by your agreement with WIS.


MAY I KEEP MY CURRENT EMAIL ADRESS?

Depending on your email address, you usually can. Talk to your Transition Specialist or contact the WIS IT Department to make sure your email is captured and compliant with WIS and FINRA’s electronic communication rules.


MAY I HAVE A WEBSITE CREATED?

Yes. WIS has a relationship with a web hosting firm who specializes in financial websites or you may work with a firm of your choosing. Your website must be compliant with the regulations of FINRA and the policies of WIS. The website must be approved by our Compliance Department prior to going live. Your Transition Specialist can get you additional information.

INSURANCE Quick Links

CPS Insurance Services

Highland Capital Brokerage

Producer's Choice Network

TruChoice Financial Group
(The Annuity Store)

INSURANCE Quick Links

Highland Capital Brokerage

 

INSURANCE Quick Links

Producer's Choice Network

 

INSURANCE Quick Links

TruChoice Financial Group
(The Annuity Store)

 

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