Transition Checklist: Transition Overview and Contact Information for Assistance
Phase 1: Registration Process & What to Expect
To get started, we’ll schedule a pre-hire phone interview with our Sales Team.
After your interview, we’ll email you the Consent for Pre-Hire form. This allows our Compliance Team to conduct a FINRA background check and pre-approval of your application.
Our Registrations Principal will email you the Registration Kit when you are approved (generally 2-3 business days after your pre-hire interview).
Once your Kit & fingerprints have been received & approved by Compliance, you will receive an email when your registration is finalized with your final documents.
You must keep a copy of these final documents somewhere safe in the case of an audit.
Once the above has been completed and approved by compliance you will receive a welcome email from Registrations. Shortly thereafter you’ll receive a welcome email from your Transition Team to schedule a kickoff call.
Phase 2: Technology & What to Expect
Archive Your Email Address with Global Relay
You will receive an email from Global Relay within 7 days of your registration containing instructions for archiving your email address. If you need support, please contact Global Relay Customer Support.
- Global Relay Customer Support: (866) 484-6630
Note: If you do not receive this email within 7 days of your start date, please reach out to Heather Schumacher in our compliance department by phone at (720) 667-3331 or by email at heather.schumacher@simplicitygroup.com for assistance.
Install the Venn Workplace app
Venn Workplace app, which will need to be installed. Instructions for this install were sent to you via email, or view step by step instructions here.
Attend a LEADERSlink Training Session
Click here to select a time that works for you to learn more about the platform you’ll soon be very familiar with.
Where do I submit business or view commissions?
LEADERSlink is the platform you will use to submit business, view commissions, track trade blotters, and much more. It is accessible through the Venn Workplace app.
Do assistants need access?
If you have assistants that will submit business, review commissions, or handle sensitive client info, they will need to be fingerprinted. Once set up as a NRF Employee, Submit a Request in LEADERSlink to grant them access.
Get Appointed with Your Product Sponsors
Melisha Westbrook can help guide you through the process of getting appointed with the life and annuity carriers that you work with.
Phase 3 – Your Business & What to Expect
Transition Existing Business
The existing securities business you wish to transfer will need to be re-papered. This is done with our Change of Dealer packet, which includes an investment account profile and an authorization form. Both you and your customer will need to sign. Keep reading to learn more about how we can assist with this process through DocuSign.
New Business Process
Once appointed, complete the Simplicity Investments paperwork and the product sponsor paperwork and upload signed copies to LEADERSlink. We accept both wet signatures and electronic, while also providing you with a digital submission workflow through the LEADERSlink portal. For assistance, please contact your Transition Team at (303) 797-9613 or transitions.investments@simplicitygroup.com.
Paperwork Requirements
Click here for our document requirements for all lines of business that run through Simplicity Investments. These completed forms, along with the product sponsor paperwork, are required to be submitted for review in LEADERSlink.
Product Information
If you have product questions, please contact Micah Hesting or reach out directly to our product sponsors through this directory.
General Questions
For general questions, please contact your Relationship Manager, or reach out to one of our team members: Employee Directory
DocuSign Transition Process**
- Provide Client Information
Submit your client’s information using our Excel Template.- ⚠️ Do not include any Personally Identifiable Information (PII) — such as Social Security numbers, driver’s license details, or account numbers.
- Form Preparation
Our team will upload the Change of Dealer forms into a DocuSign envelope. - Review & Sign
You and your client will receive the DocuSign envelope to review, complete, and sign. - Submission for Approval
Once all forms and signatures are complete, submit the documents through the LEADERSlink business submission platform. - Compliance Review
Our Compliance team will review the submission for accuracy and approval. - Final Step
After approval, send the Authorization to Change Dealer Form directly to the product sponsor.
** You must be reappointed with product carriers before the transition process can begin. Please contact Contracting at (303) 797-9080 ext. 1390 or email contracting.investments@simplicitygroup.com for assistance.