Transferring Your Clients*
Transferring client assets is the most important part of transition and requires the attention to detail of a deft, experienced hand. This will represent your clients' first experience with Waddell & Reed and we are committed to making it a smooth and seamless process.
- Track ongoing receipt of paperwork and assets
- Coordinate ACAT and non-ACAT activity
- Trouble shoot issues before they become problems
Brokerage Operations services
- Approved client information/data
- Cover letter, client instructions
- Pre-populated forms as allowed by your contracts/agreements
- Check writing / Pro-cash application
- Mailing executed by W&R
Preparation of client communication & transfer paperwork
Tips for account transfers
Frequently asked questions
*Transition activities are subject to Regulation S-P and other applicable regulatory requirements, your current firm’s privacy policy and any contract/agreement you may have with your current firm.
