Transition Support

Our Team. Your Practice.

Our goal as your long-term partner is to provide you with the support you need to manage and grow your business. Once you've transitioned to Legend, you will receive ongoing support from our dedicated teams and knowledgeable experts, all working to help you succeed. No matter what you need, you will find the help, ideas and motivation from our team.

Legend’s Transition Team

Our highly trained Transition Team works with new Advisors every step of the way to ensure the process of joining Legend flows smoothly. The team is comprised of experienced specialists who are dedicated to our Advisors’ success. Their goal is to streamline the process so you can devote more time to your client relationships. From licensing, to transferring accounts and introducing new fee‐based managed accounts, Legend’s Transition Team will oversee the details so that our Advisors may remain focused on their practices.

Education is a critical element of the transition process, so we are focused on providing the information necessary to establish your core knowledge of our products and services, account types, paperwork, technology and systems. Through one‐on‐one calls, online tours and in‐person sessions, we provide training on every aspect of your business with the goal of ensuring that you are comfortable and confident doing business through Legend. Team members include:

  • Transition Liaison
  • Licensing and Compliance
  • New Business
  • Call Center
  • Marketing
  • Retirement Plans
  • Managed Accounts
  • Trading
  • Technology
  • Business Development

We will assign a dedicated Transition Liaison to work directly with you – and your staff – through all the critical front‐end issues to help get you up and running as quickly and efficiently as possible. Your liaison will coordinate with support professionals throughout the home office to facilitate training sessions (for both you and your support staff), answer questions, resolve issues and do whatever it takes to make your transition a success.

Legend’s Licensing & Compliance Specialists strive to accommodate and assist individual Advisors with their unique issues and initiatives while ensuring compliance with FINRA regulations. They make every effort to expedite the transfer of Advisors’ registrations and licenses, assist with the completion of the U‐4, and help new Advisors become appointed with Legend’s insurance partners. Once on board, this group of professionals proactively seeks to develop good working relationships with all our Advisors.

Our New Business Specialists are trained to efficiently assist with the transition of client accounts to Legend (where applicable), helping you through the myriad details that may otherwise seem a bit overwhelming. Their diligence helps drive the process to a speedy and accurate completion. A New Business Specialist will conduct a comprehensive review of our paperwork and procedures, answer any questions and provide ongoing support.

Legend’s Call Center Team represents our dedicated support center. Focused primarily on the brokerage platform, this team is proficient at leveraging knowledge and technology to enhance both the Advisor and the client relationship. This team works diligently to ensure that Advisors have access to information quickly and easily to manage their business effectively.

Our in‐house Marketing Specialists work to acquaint Advisors with our library of sales and marketing tools and can recommend materials and programs to suit specific goals. Our comprehensive Marketing inventory includes: website templates, newsletters, advertisements, letters, flyers, BRM, presentations, etc. In addition to the standard and semi‐custom options available online, you may work with the Creative Services Specialists to promote your business with a wide range of professionally produced, personalized materials. These specialists can also help Advisors establish vendor relationships, i.e. postal service (BRM).

Legend’s Retirement Plan Support Specialists develop an assortment of educational materials and tools for Legend Advisors. Their Technical Tips newsletter, Technical Trivia e‐mail communications and Tech Talk conference calls contain a wealth of practical information on the issues affecting retirement plans. In addition, they lend their expertise to the creation of proposals, responses to RFPs, employer agreements and marketing materials, and provide timely answers to technical questions from the field. Support for accessing new markets (slots) is offered as well.

Our Managed Accounts Specialists provide a comprehensive review of the fee‐based programs available through Legend Advisory Corporation. From our fully discretionary, actively managed programs to our advisor‐driven, nondiscretionary programs, Legend Advisory Corporation has a broad menu of fee‐based programs to meet the needs of your growing business. Whether an Advisor is new to fee‐based or simply looking to enhance their current offerings, this team is prepared to provide the support and education necessary to hit the ground running! After a full review of the programs, sales & marketing tools and the website, our specialists can provide income illustrations and discuss personal goals for assets under management (AUM) and offer support for achieving these goals.

Legend’s Trade Desk Support Specialists know the intricate details of our online brokerage account trading facility available through Pershing’s NetX360 system and are ready to share that knowledge to help you streamline your business processes via online trading. Upon completion of a training session and acknowledgment, Legend Advisors are granted access to trade positions in client accounts to the extent their licensing allows. These specialists stand ready to assist with all trade‐related inquiries.

Our Technology Consultants are available to discuss your current office infrastructure and help you choose and implement the technology that best meets your needs. These technology experts provide advice and make recommendations when warranted so you can leverage technology to grow your business and streamline your processes.

Legend’s Business Development Team provides detailed information on the products and services we make available, and can recommend appropriate solutions for specific client needs. This team will introduce new Advisors to key industry partners (mutual fund companies, insurance carriers and Insurance Marketing Organization (IMO) partners) and help them establish solid working relationships with these vendors. In addition, they help Advisors with case development and business‐building strategies.

Ongoing Support:

Our goal as your long‐term partner is to provide you with the support you need to manage and grow your business. Once you've transitioned to Legend, you will receive ongoing support from our dedicated teams and knowledgeable experts, all working to help you succeed. No matter what you need, you will find the help, ideas and motivation from our team. Ongoing contact with your Transition Liaison will provide you the opportunity to share feedback and/or suggestions at any time. In addition, you will receive a survey at the end of your transition period.

Regina Rudnick

"No matter what you need, I strongly believe you will find the help, ideas and motivation from our team."

Regina Rudnick
Senior Vice President