Join Cape-Transition Process

Three simple steps to set sail

Your Personal Transition Specialist (PTS) will help map the course of your transition so that you are aware of mission-critical items on your transition timeline. Your PTS provides key transition services to ensure minimal downtime and address your questions and unique needs. Setting sail with Cape involves 3 simple steps:

  • 1 GATHER

    • Set a target transition date
    • Gather client statements and account information
    • Complete transition documents
  • 2 SETUP

    • Set-up transition “Kick Off” call
    • Determine technology platform logins
    • Website walk-through, transfer forms, new business forms, and disclaimers
    • Order stationary and business cards
  • 3 FINALIZE

    • Deliver resignation letter to former broker-dealer
    • Compliance-approved letter informing clients of your move
    • Update insurance license and state registration appointments
    • Transfer your clients to Cape Securities