Moving Your Investment Program to a New Broker Dealer

Investment programs move to a new broker dealer for a variety of reasons – sometimes to enliven a dormant program, sometimes to grow revenue for the institution, or sometimes, just to start a brand new program. Rarely does a broker dealer transition go perfectly, but it is possible to anticipate challenges to make the process as smooth as possible. A poor transition can cause lost revenue, internal chaos and damaged client relationships. A successful transition builds team unity and client trust and gets the program on a fast track to revenue growth.

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