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Transition Package

Making the Transition to Harbour Investments, Inc.

The transition team at Harbour Investments, Inc. has conducted hundreds of transfers for registered representatives. Whether this is your first transfer or your fifth, the staff at Harbour will assist you in making the transition as seamless as possible.

The Day of Transfer Instructions

 

Transition Day

• Licensing Kit has been received and approved by Nancy Schaaf, Licensing, before you terminate with your broker/dealer to have little or no interruption in your business.

• Resignation Letter. Fax or send (if original signature is required) your resignation letter to your broker/dealer and then fax a copy to Harbour Investments, Inc. We recommend that your resignation letter include the date you wish to terminate and an address where they can send a copy of your Form U-5. See the sample Resignation Letters in the Harbour Licensing and Transition Kit.

• FINRA and State Approvals. After Harbour receives the completed Licensing Kit and your resignation letter, we will proceed with processing the Form U-4. If all the questions on page 3 of the Form U-4 are "No", the transfer usually takes 24 – 48 hours. We recommend a resignation on a Friday morning and typically you can be writing business on the following Monday. Our Licensing Department will contact you upon FINRA and state approvals.

• Licensing will assign your Harbour rep number. A trading identification number for the appropriate clearing firm will also be assigned (if applicable).

• You will be assigned a Harbour email address (name@hirep.net) to use for all securities related communication submitted electronically. Our Technical Specialist will contact you once you are aboard for a technology orientation.

• Insurance Appointments. Upon approval of the FINRA and states, we will send the completed appointment forms, copy of your insurance license(s) and Registration with Current Employer to each of the insurance companies for appointments.

• Block Transfer (if applicable). While the insurance company re-appointment process takes place, a block transfer request will be sent to your previous broker/dealer for a releasing signature. After receiving the signed originals, Harbour signs as the accepting broker/dealer and they are forwarded on to each of the companies.

• ACATs and Trading Transfer Transmittal Forms. Upon approval of the FINRA and states, you will be oriented with the chosen clearing firm(s). ACATs will need to be signed by each of your clients and sent to Harbour’s Trading Department. Be sure to include completed Trading Transfer Transmittal Forms as they are used to insure that your client account registrations are set up identically.

** The Harbour Staff will work with you every step of the way.**

Welcome Aboard!