Transition Package

Harbour Investments, inc. Transition Check List

Targeted Transfer Date to Harbour Investments, Inc.
Name:
Phone:
Fax:		 Preparation Date Completion Date Executed Date
Temporary Account Forms for Block Transfer
Announcement Letter, Business cards & Stationery Compliance approval
Announcement Letter, Business cards & Stationery Compliance approval
List of Insurance Companies / Appointment Paperwork
Copy of State Insurance Licenses to Harbour
Fingerprint Cards
EFT Account
Select Clearing Firm(s) / Trading Orientation
Brokerage Transfer Paperwork

Or Non Brokerage Paperwork
Form U-4 / Licensing Kit Paperwork
Block Transfer Form / Non-Block Transfer Paperwork for Variable & Mutual Fund Accounts
E&O Insurance Enrollment Form
Resignation Letter and fax to Harbour
E-mail Setup / Technology Orientation
Operations Manual Training N/A
Assistant Manual Training (if applicable) N/A
Compliance & Continuing Education Manual

Orientation and Compliance Questionnaires

Harbour Investments, Inc.
575 D'Onofrio Drive, Ste 300     Madison, WI   53719
Phone:  (608) 662-6100    (888) 855-6960    Fax:  (608) 662-6101
Email:  info@harbourinv.com
      Members FINRA and SIPC       
© 2005 Harbour Investments, Inc.

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