Broker Dealer Financial Services Corp. & Investment Advisors Corp.

Your Move - Own Your Future - Restore Your Passion

Transitioning to a new broker dealer or investment adviser is a big commitment and one of the most important decisions you will make for you and your clients. At Broker Dealer Financial Services Corp. and Investment Advisors Corp., we understand what it takes to make the transition process as smooth and seamless as possible.

Our experienced transition team is comprised of specialists from various departments: Registration and Licensing, Operations, Compliance and Training. Leading the team is your designated Transition Specialist and long-term Relationship Manager. Our dedicated team is committed to managing the transition timeline while keeping you informed every step of the way.

Our Five-Step Process, Met With Five-Star Service

  1. Develop a comprehensive customized transition plan tailored to your needs
  2. Arrange for system access, licensing transfers and change of agent/broker
  3. Prepare transition plans for your clients
  4. Establish marketing and communication plans
  5. Train on resources, reporting and firm policies
 

Before your join date:
A detailed “Introduction to Transition” call designed to ensure you understand the steps and your Relationship Manager has a complete understanding of your practice’s unique needs.

  • Receive your own comprehensive “Transition Workbook”
  • One point of contact for all your questions
  • Live, web-based, customized technology trainings for you and your staff
  • Detailed forms training to ensure all your new account paperwork is submitted in good order
  • Pre-review and approval of all advertising such as business cards, letterhead, website, brochures, and social media
  • Weekly transition calls with your team to address any questions or concerns
 

After joining BDFS/IAC:

  • Priority business processing
  • Daily updates on your account transitions
  • Continuing weekly transition calls with your team to ensure your transition continues smoothly
 

At Broker Dealer Financial Services Corp and Investment Advisors Corp. our focus is personalized service backed by the considerable strength of our valued business partners. We encourage you to get to know some of the key department managers focused on advisor success by visiting the Our Team page.

 

Drake Relays


We're with you every step of the transition.

 Lisa Smith

Your business is important to us! - Lisa Smith, Pres & CEO


To learn more about the many advantages of becoming a financial advisor with Broker Dealer Financial Services Corp. and Investment Advisors Corp., please contact Advisor Relations at (844) 468-5800 or joinus@bdfs.com. We look forward to hearing from you.

Advisor Questionnaire
Advisor BusinessPlan
Transition & Pre-Boarding Steps


We are a full-service firm with the specialty resources and expertise that you need and the personalized service you deserve. We have created an environment to attract the best financial advisors, and more importantly, keep them.


A few things that make us different are:

  • Competitive payout structure
  • Member of Broker Protocol
  • Transition Support Team
  • Dedicated Relationship Manager, Trainer and Product Specialists
  • Open-door policy to leadership team
 

Please contact us to learn more at (844) 468-5800 or join us. We welcome you to continue exploring the benefits of being affiliated with Broker Dealer Financial Services Corp. and Investment Advisors Corp.
 


We are committed to establishing an exceptional partnership with our financial advisors, providing the support, tools and resources needed to help clients achieve their financial goals.

Broker Dealer Financial Services Corp.
Investment Advisors Corp.

140 South 68th Street
West Des Moines, Iowa 50266

Member: FINRA / SIPC / SIFMA

©2016 Broker Dealer Financial Services Corp - All Rights Reserved
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Securities offered through Broker Dealer Financial Services Corp., Member SIPC. Advisory services offered through Investment Advisors Corp., an SEC registered investment advisor.

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