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.
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.