{ "media_type": "text", "post_content": "Looking at switching BD/RIA. I have only done it one time from NML to Indy. When going Indy-Indy is there a way to block transfer my clients? Or do I have to get change forms for every client?", "post_id": "5c48ca8865e44d001857afd9", "reply_count": 3, "vote_count": 1, "bowl_id": "599feb177c057d0010be0554", "bowl_name": "Financial Advisors" }

Looking at switching BD/RIA. I have only done it one time from NML to Indy. When going Indy-Indy is there a way to block transfer my clients? Or do I have to get change forms for every client?

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New forms for all brokerage accounts but for trail/recurring revenue thats directly held you will only need a transfer of agent form. Obviously this is generic info that is widely accepted. Your new BD may have stricter requirements. Ask them.

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It client has to sign new forms unless same company. You would have to ask bank office.

Depends on where and how you are moving. It’s BD specific.

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