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Transition Support

We know that transitioning your business is a big undertaking and we do not take your confidence in us lightly. That is why we have created a transition process that takes all the stress off your shoulders. Your transition team is experienced in all aspects of the transition process, including new accounts, operations, compliance and registrations.
A continuum of comprehensive services designed for the successful transition of your business to Aegis Capital. We build upon four stages that are designed to take you through the basics of account and license transfers and work with you to leverage our practice management and marketing tools to take your business to the next level.
A dedicated transition specialist serves as your single point of contact for all transition needs to create a smooth and seamless experience during both the pre- and post-onboarding process. You can be assured that we will do our job so that you can continue to focus on yours.

Set the Stage for Your Transition

  • Meet transition specialist to go over game plan

  • Securities & insurance licensing and paperwork (Form U-4, fingerprints, Aegis paperwork)

  • State registrations

  • Compile all client monthly statements

  • Preparation of client paperwork


Account Transfer & New Account Set Up:

  • Communicate with clients

  • Direct business

  • Brokerage business • Setup retail & institutional accounts

  • Determine how paperwork will be sent to client (email, overnight, fax, Docusign)


Maximize Business Processing W/ Aegis Integrated Solutions

  • Commission System

  • Compliance System

  • Back Office System

  • Email

  • Customer Relationship Management System

  • Financial and Retirement Planning Platform


Grow Your Business

  • Marketing material

  • Network with product vendors

  • Peace of mind to build

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