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JP Turner & Company, LLC
OPEN AN OFFICE / Pre-Transfer List
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JP Turner & Company is successful because it has the experience of successful managers
and a solid business process. Your transition to the JP Turner organization will be managed with the utmost professionalism and expedience.
Using a time-proven method, JP Turner's transfer process is outlined below:
FOUR TO SIX WEEKS PRIOR – Until becoming a JP Turner branch office!
Select a target date for joining JP Turner. From this date you can plan to have all your systems prepared on the day you start. Make sure you understand the provisions and terms of any contracts you may have signed, including non-compete and non-solicitation clauses.
Send your completed registration package to JP Turner for approval. Contact our transition team with questions or requests.
FOUR WEEKS PRIOR – Until becoming a JP Turner branch office!
Locate and lease office space. JP Turner suggests executive suites because they usually include package plans with services and equipment. Such services generally include a central receptionist, mail services, conference room, etc.
Order office furniture, equipment and basic supplies.
Order phone services.
THREE WEEKS PRIOR – Until becoming a JP Turner branch office!
Prepare your client announcement letter, stationary and business card layout for Compliance approval. You may not distribute these materials prior to your registration becoming effective.
Order new account and transfer forms.
Compile your mailing list and prepare your envelopes.
Prepare your new files.
Prepare a list of top-priority clients.
Prepare your assistants and be clear of what you expect from them and how your clients are to be handled in the coming weeks.
ONE WEEK PRIOR – Until becoming a JP Turner branch office!
Finalize any last-minute details with your office-space provider. Prepare your envelopes with the following: completed new account forms, appropriate transfer forms, announcement letter, your new business card, self-addressed stamped return envelope. Please remember not to mail any of these until you have an assigned rep ID number.
Prepare your press release and/or advertisement announcing your new office for print the week after your registration has been transferred.
Submit the press release to JP Turner Compliance for review.
FINAL DAY
Resign. Let JP Turner Registrations know so they can transfer your registration. If your U-4 application does not have any "yes" answers (and it has been less than seven calendar days since you resigned from your former broker/dealer), your registration will be transferred electronically following confirmation of your resignation. If you had a "yes" answer (or it has been more than seven calendar days since you resigned), the transfer process takes approximately two to three weeks, during which time you may not conduct or solicit business.
As soon as your registration becomes effective you will be given your rep ID number. You can then mail your announcement letters, transfer forms and start making calls to your clients.
WELCOME TO JP TURNER & COMPANY AS OUR NEWEST JP TURNER MEMBER FIRM!
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