As each new J.W. Cole Financial representative has
their own unique financial services practice, they also have their own unique
set of circumstances to transition to our organization.Whatever your situation, just know that your
Transition Expert will work closely with you to establish a customized timeline
for your transition to our family!
As a point of reference, below is a sample
Customized Timeline completed for one of our recent new representatives.
CUSTOMIZED TIMELINE
WEEK 1
Complete J.W. Cole Pre-Hire
Authorization Form
Sign J.W. Cole Representative
Offer Agreement
Conduct initial call with
J.W. Cole Transition Expert
Select target date for
registration
Submit business card,
letterhead, website, seminars, or brochures for pre-approval
Submit customer announcement
letter for compliance pre-approval (Samples available)
Review current contract /
firms policy:
Future Commissions
Block Transfers
Business Limitations &
Agreements
WEEK 2
Complete
initial Staff Training with Transition Expert
Complete
reappointment paperwork for insurance companies
Submit
completed licensing paperwork and review for accuracy
Review
updated U4 via WebCRD link
WEEK 3
Confirm business card and
stationary are approved and ready for print
Review all licensing
requirements, new representative kit, reappointment paperwork, product company
notices, and advertising
Complete secondary Staff
Training with Transition Expert
Prepare office for everyday
compliance maintenance
RESIGNATION DAY
Fax Resignation Letter to
exiting Broker/Dealer & J.W. Cole Home Office
J.W. Cole will submit U4 to
FINRA
If no “yes” answers on U-4
application, securities registration will be transferred within 24-48 hours
J.W. Cole will send
confirmation notification once “approved” in WebCRD
ONCE NOTIFIED OF SECURITIES REGISTRATION APPROVAL
Commence customer
correspondence regarding your transition
J.W. Cole will submit license
reappointment forms and notifications to product companies
J.W. Cole will provide Rep
Code, Branch Code, and technology Log-ins & Passwords
J.W. Cole will mail out Rep
Office Compliance Kit (ROCK Box)
J.W. Cole will email Errors
& Omissions Certificate of Insurance
ENJOY THE REST OF YOUR PROFESSIONAL CAREER WITH YOUR NEW J.W.
COLE FAMILY!!!
