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What happens when my financial representative changes companies?



Our response:

Depending on the type of investments held in your account, you can request to transfer the investments to a new investment firm or can keep your investment account with your existing firm. Transfers may create a taxable event or be subject to fees.

A new representative will likely be assigned to you to work with, know what to expect from a representative and how to choose one that fits your goals. Before acting, speak with your current firm and any potential new firm to understand the options available. Check with a registered financial representative or tax professional for advice than fits your personal situation.

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