The single largest decision when contemplating a Broker/Dealer change is the transition. While never an easy endeavor, our dedicated and experienced transition team will be side by side with you and your staff every step of the way. While staying within industry guidelines, our transition team will manage the entire process from start to finish and be available for you and your staff at all times.

Our Approach

Our team will work closely with you and your staff to analyze your book of business and prepare all of the forms and communications necessary to transition your client accounts. Our team will work continuously to ensure as smooth a transition as possible. Once you have joined Supreme Alliance you continue to work with the transition team exclusively for sixty to ninety days as you continue to learn our systems. All data entry and client account entry is done by our staff during this time period so that you and your staff can focus on the important issues: your clients and their accounts.

Our dedicated transition team helps independent advisors move their businesses to Supreme Alliance throughout the year and have the experience and knowledge to help guide you and your staff through the entire process. This team will provide support at every step along the way including:

Conference calls with our licensing and registrations department to ensure all of your securities, state, and insurance licenses all transfer seamlessly during the move.

Training calls for you and your staff with the Supreme Alliance operations and compliance departments to bring you up to speed on all Supreme Alliance paperwork and procedures.

Direct access to your transition team all along the way to ensure all of the necessary paperwork to move your book of business is complete and accurate.