Your Transition Team.

Whether you are a registered rep, a stock broker or an equity trader, once you become a GunnAllen Financial Representative, our highly efficient Transition Team gets moving. We provide you assistance every step of the way – from helping you lease office space, to preparing client announcement letters, down to plugging in your phones and computers. Our goal is to make your transition as seamless and trouble-free as possible for both you and your clients. Along with being assigned your own personal Transition Consultant, you will also receive an easy-to-follow starter kit, which includes:

Starter Kit:
Forms needed to transfer your accounts:

• FINRA Form U-4
• Fingerprint Cards
• GunnAllen Compliance Manual
• GunnAllen Supervisory Procedures Manual
• GunnAllen Transition Guide

The Transition Process.
Whether you want to be operational in 4 hours or 4 months, our Transition Team will work closely with you or your support staff throughout the entire process, whichever is easier for you to achieve this goal. Tell us you want to be up and running in a day, we can make that happen. And being exceptionally responsive doesn’t mean being careless. Our team is extremely detail-oriented or should we say, detail-obsessed. Here is an overview of a typical transition process:

The commitment is made. The wheels are in motion.
Stage 1
- Initial meeting with your Transition Team
- Select your target date for transitioning
- Map out transition plan with your personal Transition Consultant
- Locate and lease office space
- Determine technology needs
- Order office equipment
Stage 2
- Discuss marketing needs with Transition Consultant
- Order stationery, business cards and signage
- Obtain liability insurance for office space
Stage 3
- Work with transition consultant to notify current clients of your new business
- Receive branch start-up kit
- Prepare client mailing
- Set up overnight courier service through GunnAllen Financial’s discount program
Stage 4
- Determine insurance and variable annuity companies
- Develop block transfer letters with Transition Consultant
Stage 5
- Prepare client kits
- Draft registration letter
- Install brokerage application software
Let Freedom Ring
- Resign from your current firm
- Mail client packages
- Complete training on GunnAllen Financial operations

The pace of your transition process will ultimately depend on your personal business needs. Our highly skilled and efficient Transition Team will help you make an easy move to the independent platform.