Skip navigation
Menu
Search Forums
The Advisor Forums

Transition Activity

or Register to post new content in the forum

2 RepliesJump to last post

 

Comments

  • Allowed HTML tags: <em> <strong> <blockquote> <br> <p>

Plain text

  • No HTML tags allowed.
  • Web page addresses and e-mail addresses turn into links automatically.
  • Lines and paragraphs break automatically.
Nov 3, 2005 3:19 pm

cameron

Joined: 2005-08-30Offline

What can an FA do while his license is in the process of changing firms (limbo)?



Can he contact clients?



Solicit them to transfer to his new firm?



Send them indroductory letters?




Nov 4, 2005 2:28 pm

anonymous

Joined: 2005-09-29Offline

You normally shouldn't have any "limbo" period to worry about.  Licenses typically transfer the same day you resign.