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This document serves as a comprehensive guide for representatives transitioning to Securities America, detailing the necessary steps, compliance requirements, marketing tools, and technology resources
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How to fill out Securities America Transition Guide

01
Gather all necessary personal and financial information before starting the guide.
02
Read the introduction section to understand the purpose of the Transition Guide.
03
Follow the step-by-step instructions outlined in each section of the guide.
04
Fill out your personal details accurately in the required fields.
05
Provide information regarding your current securities and investment accounts.
06
Review any specific documents or disclosures mentioned and attach them if necessary.
07
Double-check all entries for accuracy and completeness before submitting the guide.

Who needs Securities America Transition Guide?

01
Current clients transitioning to Securities America from another firm.
02
Financial advisors moving their practice to Securities America.
03
Individuals looking to understand the process of transferring accounts.
04
Anyone needing guidance on compliance and documentation during their transition.
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People Also Ask about

Securities America, Inc. is a registered broker-dealer and Securities America Advisors, Inc. is an affiliated registered investment adviser under common control with Securities America, Inc.
Securities America is now Osaic Securities and investment advisory services are offered through Osaic Wealth, Inc., broker-dealer, registered investment adviser and member of FINRA and SIPC.
Independent and employee-owned, NBC Securities is committed to building lasting relationships and legacies.
June 2022: Advisor Group acquired American Portfolios Financial Services.
Securities America is now Osaic If you are a client and you are not assigned to an active Financial Professional, you may contact us at 800-747-6111, option 1.
Ladenburg Thalmann Financial Services Inc. has agreed to buy Securities America Financial Corp., the troubled independent broker/dealer, from Ameriprise Financial Inc. for at least $150 million in cash, Ladenburg and Ameriprise said this morning. Registered Rep.

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The Securities America Transition Guide is a document designed to assist financial advisors and their firms during the transition process, providing essential information and resources to facilitate a smooth transfer.
Financial advisors and their firms that are transitioning to or from Securities America are required to file the Securities America Transition Guide.
To fill out the Securities America Transition Guide, advisors should carefully read the instructions provided, gather the required information, and complete each section accurately before submitting it to the appropriate department.
The purpose of the Securities America Transition Guide is to streamline the transition process for financial advisors, ensuring compliance and helping to maintain continuity for clients during the change.
The Securities America Transition Guide must report information such as the advisor's personal details, firm information, client account specifics, and any relevant compliance or regulatory concerns.
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