Transition Assistant Process

The Docupace Transition Assistant Program is designed to help transitioning advisors “re-paper” all client accounts, at one time, as they are transitioning from one Broker-Dealer (BD) to another. Due to SEC/FINRA regulations, the acquiring BD cannot have access to the advisor’s client information until the advisor has moved his/ her U4 to the new BD. In order to move the accounts to the new BD, the advisor will need to fill out new account “paperwork” — a very labor-intensive process. Docupace has created the Transition Assistant (TA) Program to help transitioning advisors efficiently create the new account paperwork required by his/her new BD.

Docupace has worked closely with the new BD to ensure the advisor has the required forms to successfully move accounts.

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