Timeline - Helpful Tips

Two weeks before transfer:

º Submit a mock-up for your business cards, stationary, fax cover pages, etc., and fax it to Debbie.

º Advise Debbie of your Target Date to start with Kovack Securities.

º Organize your new client files. Prepare your initial client meetings and get familiar with which forms will be necessary.

º Advise which Insurance and VA companies you wish to do business with.

º Submit your licensing documents to KSI prior to joining. All appointment paperwork can be printed and filled out once you are approved in your home state. Debbie can forward to each company.

º Client notification letter can be written and faxed to Debbie.

One week prior to transfer:

Compose your letter of resignation, (we have sample resignation letters).

Day of Resignation:

Email / fax a copy of your formal resignation letter to Debbie and she will forward it to the Licensing & Registration Department.

Once you are licensed:

Once you are cleared by FINRA and in each state in which you requested to become securities registered, you will receive an email / call from our Licensing & Registration Department letting you know that you are officially on board with Kovack Securities. Start putting your KSI Rep number used for all Non-Brokerage paperwork. This is your 4 digit Rep number and a Branch number with FINRA which will be provided to you on the Change of B/D forms, etc.

Call your clients:

Instruct your clients to mail all forms back (make a client of documents you sent and received back via transfer). You will receive a 3 digit Rep number for the platform you will be using Pershing or NFS (Fidelity). This number is used for all securities business. If you are doing RIA business, you will also receive a 3 digit Rep number.