The Paperless Process

Your transitions to Girard should be as seamless as possible—so why start with paperwork? We’ve eliminated “treeicide” everywhere we can, starting with the Pre-Approval Questionnaire.

This simple document provides us with the information we need in order for our compliance team to do their initial review of your practice. It does NOT commit you to Girard nor does it notify your current firm that you’re exploring other opportunities. It can be completed entirely online and signed electronically, eliminating the need for printing, scanning, faxing, or any other kind of “ing.”

Your time is valuable. We make sure you can spend it on clients–not paperwork.

Once you’ve decided that Girard is the right broker/dealer for you and your clients, you can take advantage of our advanced technology to complete all of your onboarding requirements. Gone are the days of using pen and ink to fill out dozens of pages in FINRA’s registration kit, then starting over if you made a mistake. Here at Girard your New Rep Kit, which includes registration forms, fingerprint instructions for electronic “LiveScan” fingerprinting, and FINRA relicensing instructions, is available electronically through Girard Access, our online advisor workstation.

Once you’ve completed the electronic registration documents your Transition Relationship Manager will give you the green light to resign from your current firm. Once you submit your resignation letter to them you can send us a copy (electronically, of course) and we submit everything to FINRA to transfer your licenses and registrations to Girard. No muss, no fuss, and no paper.

Transferring Accounts

With Girard’s innovative technology and workflow processes, moving your accounts over to Girard has never been easier. As soon as you’re on board, you’ll be set up with access to Laser App Anywhere, which will help you prepopulate and automatically prepare your client forms. When you’re ready, you’ll submit the signed documents to us electronically through Laserfiche, our document archiving system and workflow tracker. You’ll know where your documents are at all times, and receive detailed status updates.

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