The Process

We look forward to your affiliation with United Planners'. To help ease and expedite your transition,
we have a dedicated team of specialists to assist you with all of the questions you will have.

THE STEPS:
A. Prior to affiliation with United Planners'

1. Discuss your Broker-Dealer needs with a United Planners' Partner Development Consultant.

2. Check that all of the products that you currently use or want to use are approved with United Planners'

3. Submit the Pre-Registration Confidential Questionnaire with verification of your previous 12 months production and a copy of your form ADV if you are an Independent Registered Investment Advisor.

4. Once you and UPFSA have determined to pursue a relationship, a U-4 kit, affiliation agreement and RIA paperwork (if applicable) will be mailed to you. The necessary registration forms and instruction will be included.

5. Set a target date for your transition. This will be the day you resign from your current Broker-Dealer. You will need to send us a copy of your signed resignation letter before United Planners' will process your registrations.

6. Get your website, personal e-mail, business cards, letterhead, and any type of advertising pre-approved by compliance

7. Begin to draft a personal letter to be pre-approved by compliance that will be sent to your clients once your affiliation is complete.

8. Decide what technology you would like to utilize upon affiliation.

9. Print out your variable annuity and variable universal life insurance appointment sheets where you are currently or are intending to do business with and begin pre-filling them out.

10. If you are placing  your clients in  Pershing accounts, let us know if you would like to have access to Net Exchange Pro. (certain fees apply)

11. Have all non-registered personnel (clerical staff) fingerprinted.

12. Verify clients cost basis is stored as this information does not typically transfer over.

13. Begin the process of completing client documents. Through your personal trial version of LaserApp, you can populate client forms electronically. It is important to verify that you are not in violation of your current firms privacy policy and be aware that you may not have clients execute documents prior to your approval date with United Planners'.

14. Look into United Planners' discount or affiliation programs for key items including overnight mail, health care, dental, etc.

B. Once officially affiliated with United Planners'

1. Start sending original signed New Account Forms (NAFs), Change of Dealer Forms (CODs) Account Transfer Forms (ACATs), and any additional documents needed for each account registration to the home office. If you are your own OSJ, send the CODs directly to the sponsor companies. (Provided this is not in violation of your previous firms Privacy Policy or any other document in place with that organization.)

2. Verify your firm email and UPFSA website access has been established by contacting the Home Office

3. Verify that you have access to Advisor Front Office (AFO). This is your on-line application for entering all New Account Forms (NAFs).

4. Display proper signage and place your "Member FINRA, SIPC" branch office of United Planners' signage where clients will be able to see it.

5. Ensure that your phone system answers with the appropriate UPFSA affiliation message.

6. Inform your clients that you have switched to a new Broker-Dealer and they will either be receiving paperwork to sign off on or set an appointment with them to meet on a one-on-one basis. (Provided this is not a violation of your previous firms privacy policy or other agreement.)

7. Obtain a Temporary Password and Login for the website from your Partner Development Contact.

8. Become familiar with the Compliance and Operations Manual on the UPFSA website.

9. If you need help setting up your branch office logs and/or files see the UPFSA Compliance and Operations Manual or call our Compliance Department at the Home Office. You will also be contacted by a compliance team member as part of the transition process. 

10. Prior to faxing in your Variable Annuity and Variable Universal Life insurance companies appointment paperwork. Call them to verify whether they will accept a fax copy or if they need a hard copy.

11. If you require your E&O insurance policy number and tax ID number for your VA & VUL insurance appointments contact Partner Development.

C. A few days after United Planners' affiliation

1. Call your Variable Annuity and Variable Universal Life insurance companies to make sure you are appointed with them showing United Planners' as your Broker-Dealer of record.

2. Follow up on your accounts that have been transferred via Change of Dealer (COD) or by Account Transfer Form (ACAT) by contacting the companies directly.

3. Follow up with your clients to ensure they have received the forms you have sent to them and have your client meetings.

4. You will be receiving calls from our Transition Team on a weekly basis. Please keep in mind you are free to call them anytime.

5. Check to make sure you have received your Fast Start Transition Box.