Financial Advisor Transition Checklist Form
Use this form to organize the information and task status needed for a financial advisor transition.
Client and Advisor Details
Client Full Name
*
First Name
Middle Name
Last Name
Email Address
*
example@example.com
Phone Number
*
Please enter a valid phone number.
Format: (000) 000-0000.
Current Financial Advisor Name or Firm
*
New Financial Advisor Name or Firm
*
Preferred Transition Start Date
*
 -
Month
 -
Day
Year
2 digit month, 2 digit day, 4 digit year
Date
Transition Checklist
Account transfer paperwork submitted
Yes
Investment policy or strategy reviewed
Yes
Beneficiary information reviewed
Yes
Recurring contributions or withdrawals reviewed
Yes
Communication preferences updated
Yes
Final records received
Yes
Notes and Confirmation
Transition Notes
Confirmation
*
The submitted information is accurate and intended to support the advisor transition process
Submit
Should be Empty: