Transition Process

Moving your business to Simplicity Investments is straightforward; and your dedicated Transitions Team will make themselves available every step of the way.

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.

To ease the burden of re-papering, it is best to gather your client’s information before registering, as you will lose access once your registration & U4 are processed. If you haven’t yet, please reach out to your Transitions Team by calling (303) 797-9613 to set up a kickoff call.

Your team is always just a phone call away and happy to help guide you through every step of this journey.

DocuSign Transition Process*

Provide Client Information
Submit your client’s information using our Excel Template.
Note: Do not include any Personally Identifiable Information (PII) such as SSN, driver’s license details, or account numbers.
Form Preparation
Our team will upload the Change of Dealer forms into a DocuSign envelope.
Your Review & Signature
You’ll receive the DocuSign envelope to review, complete, and sign.
Client Signature
Your client will then receive the same envelope for their signature via DocuSign.
Submission for Approval
Once all forms and signatures are complete, submit the documents through the LEADERSlink business submission platform.
Compliance Review
Compliance will review the submission.
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 si.contracting@simplicitygroup.com for assistance.

Category	Examples	Collected
A. Identifiers	Contact details, such as real name, alias, postal address, telephone or mobile contact number, unique personal identifier, online identifier, Internet Protocol address, email address, and account name	YES
B. Personal information categories listed in the California Customer Records statute	Name, contact information, education, employment, employment history, and financial information	YES
C. Protected classification characteristics under California or federal law	Gender and date of birth	YES
D. Commercial information	Transaction information, purchase history, financial details, and payment information	NO
E. Biometric information	Fingerprints and voiceprints	NO
F. Internet or other similar network activity	Browsing history, search history, online behavior, interest data, and interactions with our and other websites, applications, systems, and advertisements	NO
G. Geolocation data	Device location	NO
H. Audio, electronic, visual, thermal, olfactory, or similar information	Images and audio, video or call recordings created in connection with our business activities	NO
I. Professional or employment-related information	Business contact details in order to provide you our Services at a business level or job title, work history, and professional qualifications if you apply for a job with us	NO
J. Education Information	Student records and directory information	NO
K. Inferences drawn from other personal information	Inferences drawn from any of the collected personal information listed above to create a profile or summary about, for example, an individual’s preferences and characteristics	NO
L. Sensitive Personal Information	Account login information, contents of email or text messages, debit or credit card numbers, drivers’ licenses and social security numbers	YES

Transition Process

DocuSign Transition Process*

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