Brokerage

We work with some of the nation’s most prominent brokerage companies, including both office-based and online, and ranging from bank-owned to discount to full-service.

Our approach to client communications is based on a close understanding of the unique sensitivities of brokerage clients… their different investment styles… the importance of their relationships with their financial advisor and advisor teams, as well as their growing reliance on self-service channels.

Our work in the brokerage industry includes numerous events and situations, such as:

• Mergers and acquisitions
• Systems conversions and account number changes
• Broker-dealer changes (negative and positive consent)
• Repricing
• Changes to options and margin accounts
• Introduction of new web site
• Rebranding
• Clearing firm changes
• Branch assignments and closings
• Premium/retention mailings
• QRP and custodian notifications
• Advisor service agreement updates

Brokerage firms also turn to us for sensitive employee communications, such as changes to compensation plans.