Making Your Transition Easy

PlanMember Securities recognizes that changing firms can be a
complicated process. Our dedicated transition team executes timely
processing so you have very little downtime. From registration to
account transfers, PlanMember handles the transition so you’re up and
running in no time.

While other companies say a lot, we do a lot. Maintaining your
securities and insurance registrations is a critical aspect of your
transition. We guide you through the FINRA maze to ensure you are
registered in the appropriate states, and will seamlessly appoint you
with your chosen insurance partners. Compliance is our specialty so
you’re never on your own.

New representatives will receive a Getting Started Audit Kit containing
the required files for your office, as well as an audit checklist that
helps answer compliance questions before you even have to ask. Our
transition coordinators will help you develop a game plan and keep you
informed along the way.

• Transition Coordinator will develop a client database for you or you
can provide us with one

• We will personalize your new account forms, mailing labels and other
required forms

• Pre-approved letters are written so you can notify your clients of
your decision to join PSEC

• Transfer letters will be prepared when applicable, and we will follow
up and keep you informed

Once you make a commitment to PlanMember Securities as your new
broker/dealer, PlanMember Securities commits to helping you through
your transition and beyond.