Transition

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.
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 one-stop for all transition needs to create a smooth and seamless experience.
STAGE 1: 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
STAGE 2: 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)
STAGE 3: Maximize business processing with Aegis’ Integrated Technology Solutions
• Commission system
• Compliance system
• Back office system
• Email
STAGE 4: Grow your business
• Marketing material
• Network with product vendors
• Peace of mind to build

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Contact Information

Michael Pata Head of Recruiting & Business Development
Toll Free 800-920-2502
General 212-813-1010
Email careers@aegiscap.com