Making the Transition

You may have already decided that Mid Atlantic is the kind of broker-dealer you want for your independent firm. Now, it’s time to determine if your experience, annual revenues, and financial resources make the move advisable.

Have you been in the retail securities business for at least four years? Are you, or your group, currently producing at least $750,000 of revenues annually? Do you have a good compliance record?

If you answered all of those questions in the affirmative, the next step is for you to evaluate your financial resources. We will gladly provide you with our “Independence Guidebook for Investment Professionals” to help you complete the task in a thorough and objective manner.

When you’re ready to make the move to the Mid Atlantic Financial Network, we’ll be ready to work with you to achieve a smooth and seamless transition.

“Independence Guidebook for Investment Professionals”

In less than 30 pages, this valuable guide will help you with:

• Determining if independence is really right for you
• Evaluating your options —
- Move as an employee to another broker-dealer
- Start your own broker-dealer
- Affiliate as an independent with an existing broker-dealer
• Choosing a broker-dealer if you decide to affiliate as an independent
• Creating realistic office budgets for both initial capitalization and monthly operations

Transition Services Team

Once you’ve made the decision to switch to Mid Atlantic Financial Network, our transition team begins to make your transition as seamless as possible. After reviewing the composition of your accounts and the strategies you will be using, this experienced team helps you and your staff implement the technology necessary for your ongoing success. As for transferring your accounts to Mid Atlantic, our team will handle the details in order to have you up and running without delay.

Ongoing training and support are with you all the way. We want you to succeed. With our representative-to-support staff ratio of 2 to 1, you’ll have all the backup you’ll need.