SECTwo financial industry regulators – FINRA, the Financial Industry Regulatory Authority and the SEC, the Securities and Exchange Commission – provide some good text book type information about transferring your investment accounts from one advisor to another.

Like a reading assignment for math class, the information is a bit dry and unexciting but provides a good primer for anyone thinking about making a switch. After a review of the information however, I think you’ll understand why it’s important to have a trusted professional help you with the transfer process.

Our goal at is to help you find the best information and the right help to make as smooth a transition as possible to a better investment situation.

Understanding the Brokerage Account Transfer Process

From the SEC
Transferring Your Brokerage Account: Tips on Avoiding Delays