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Getting Started

Developing an Action Plan

Once you’ve determined that you want to make a career shift toward independence, our transition team will assist you at every step of the process.

We are dedicated to helping you take your career to the next level as an independent broker. We have developed a streamlined process which functions as a two-way street in which you can focus on developing your independent business practice while we provide you with the necessary support and resources for a successful enterprise. Before you make your move toward independence, you are required to address the following issues:

Due Diligence
  • Preliminary interview
  • CRD Review
  • Completion of confidential broker/advisor profile
  • Registration of licenses with WallStreet*E
  • Introduction to transition team coordinator
Requirements
  • Must be a current producing broker
  • Submit production runs for previous six months
  • Provide a Summary of Assets Under Management (Current Money Line) and number of accounts to be transitioned
  • Must include 10 retail accounts at minimum in Existing “Master Accounts”
  • Pay monthly minimum of $1,000.00 in WallStreet*E transaction charges to maintain “Master Account” – (Standard Platform)
  • Pay monthly minimum in WallStreet*E transaction charges for Premium and Private Label Platforms
  • Furnish acceptable compliance / CRD record
  • May be required to registration to take Series 24 within 3 months
Transition Assistance:
  • New Account Transition
  • Licensing
  • Compliance
  • IT Platforms
  • Operations
  • Marketing
Scalability

Once you go independent you want the ability to expand your business. WallStreet*E Financial Services has several scalable solutions available including branch office expansion, Hybrid solutions, website builds, private labeled websites and other scalable solutions tailored to your business needs.