Berthel Fisher & Company Financial Services, Inc.

Transition Support

Using the latest technology and a dedicated support team, we will make your transition to Berthel Fisher as smooth and stress-free as possible. Our transition specialists will provide you with a written transition manual and personally guide you through the process. We have some fantastic technology to simplify and automate the paperwork. Larger offices can expect our transition team to provide on-site training at your office. Throughout the process, you'll get to know our staff and procedures.

Everyone's transition is different. For some Reps the majority of their transition is prepared prior to their licenses being transferred. For others, the licenses are transferred and then the transition process begins. However your transition is planned, the Transition Coordinator will work with you to map out a plan to effectively and efficiently complete your transition. 

Step-By-Step Transition Guide

Our comprehensive 5-Step process has been translated into a four page guide that covers everything in writing and helps you know what to expect throughout the process. The guide also clearly states time frames to establish expectations and timelines. Key steps covered in the process include:

• FINRA Registration Transfers: Our licensing professionals will work with you to transfer your existing license and if the need exists, setup testing windows for new licenses.
• Setting Up Your Office: Signage, business materials and advertising pieces such as letters are reviewed by Compliance in this part of the process.
• Client Account Transfers: Operations works with you to evaluate the transfer strategies available for your specific book of business.
• Commission Processing and Payment Setup: Our Accounting department works with you to setup your ACH process and also trains you on how to use our online commission system to monitor commissions and the bimonthly commission cycle.
• Technology: Berthel Fisher has a great selection of technology services to help you run your practice more efficiently. Our Rep-friendly tech team will walk through all the solutions and help you choose the tools that will work best for you. Ongoing support as well as training and web sessions are available for our tools.

Our Marketing team will also support and educate you about our vast products and sales opportunities, including 1031s, REITs, private offerings and due diligence trips.