Making The Move
Our pre-resignation support involves weekly transition calls with the advisor to identify tasks which need completion, to address outstanding items and to answer any questions he or she may have. The advisor is provided with an outline of the transition process so that he is aware of the steps involved and timing of those steps. This will keep the transition process proceeding smoothly and on track so that he will be fully prepared for his license transfer on resignation day. Our transition team at Stratos will provide the advisor with repapering support, preparing and mailing the client paperwork on the day his securities licenses transfer to LPL. The team also provides the advisor and his staff with a Best Practices call just prior to resignation. On this call, we discuss dos and don’ts, familiarize them with LPL account paperwork and answer any questions they may have.
Once the advisor is officially onboard with LPL, the Stratos transition team continues support for him and his staff for up to 60 days. Our support involves assisting with account opening and tracking their change of broker dealer request to be sure the direct business accounts network to the LPL accounts. We provide both on-site support and virtual support during that 60 day period.
Jennifer Isaacs
Dir. of HR & Business Services
Jennifer and her daughter have recently relocated to the Cleveland area and in her spare time she enjoys volunteering with dog rescue organizations, kayaking, reading, and is an avid college basketball fan.
Kate Sweetman
Senior Business Services Associate
Kate joined Stratos Wealth Partners as a Transition Specialist in 2016. Prior to joining Stratos, Kate was a licensed Insurance Agent and Registered Representative with Farmers Financial Services. She currently holds her FINRA Series 6 and 63 registrations with LPL Financial.
Kate has developed a keen understanding of the challenges and concerns faced by Small Business Owners after working closely with them for over 13 years. A passion for small business and commitment to Customer Service make the Transitions Team a great fit.
Kate is located in our San Diego location and lives with her husband and two children. She spends most of her free time on the sidelines of her kid’s soccer and baseball games or at the beach.
Stephanie Spillman
Business Services Associate
Stephanie Spillman joined Stratos Wealth Partners as a Transitions Specialist in June 2015. She brings 13 years of financial industry experience including banking and investments. Prior to joining Stratos Wealth Partners, Stephanie worked for National City Bank (PNC), Huntington National Bank/Huntington Investment Company, and The Community Bank.
Stephanie is a graduate of Muskingum University with a BA in Business and Economics. She enjoys traveling, health & fitness, attending sporting events, and spending time with family and friends. Stephanie and her husband Mark recently relocated to the Cleveland area and enjoy the activities and dining this area provides.