Our focus is on supporting advisors and this mentality starts from day one. For anyone needing a Series 65 license, we have a study program built to simplify the process allowing you to focus solely on preparing for the exam. For existing advisors, our transition team works with you to put a step-by-step plan in place long before assets are touched and we provide an outline to ensure a seamless switch from firm to firm.

New Advisors

Step 1: Qualification

A Series 65 license, a combination of a Series 7 and 66, or a state-approved designation (CFP, ChFC, CFA) is required to become an Investment Advisor. If you need licensing, we have Kaplan study packages available and our team will be in regular contact with you along the study process.

Step 2: Registration

Once you’ve acquired your prerequisite licensing, our compliance team will be in contact to complete the required paperwork and confirm all necessary registrations. After all the paperwork is confirmed, your advisor account will be set up and you will have complete access to all of our advisor tools.

Step 3: Education

Our advisors complete an initial advisor orientation that outlines the business process and explains how you can utilize your new capabilities to grow and scale your business. Once you’re on board, you’ll have all the necessary training at your fingertips and our staff is always just a phone call away.

Current Advisors

Step 1: Inventory

Before your transition begins it is important to take an inventory of your current business to make sure you are fully prepared to have a successful transition. The clearer the picture you have of your business the easier it will be to initiate this transition.

Step 2: Prepare

You will be welcomed by our onboarding staff with a preliminary call to outline the process. This allows us to gather information, outline the necessary steps, and make sure we have a cohesive plan in place to ensure a seamless switch from firm to firm.

Step 3: Commit

Sign and return your IAMS Advisor Agreement. We will retain this on file until you are prepared to resign from your current firm and register with IAMS. Keep in mind – clients cannot be sent any IAMS paperwork until you have been notified by us.

Step 4: Train

All new advisors attend one of our quarterly events to meet our team and learn about our platform, technology, and processes. From there we schedule individual training sessions to make sure you’re comfortable and confident with the IAMS system.

Step 5: Register

Your start date with IAMS Wealth Management is determined by how soon you have all your client paperwork in order. You must notify your current firm of your termination and we’ll alert you once approved and begin moving your clients over.

Step 6: Transfer

Your Onboarding Specialist will let you know when you have been approved and may begin contacting your clients. We will guide you through the paperwork requirements with TD Ameritrade and help you process these requests once documents are signed.

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