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Transition Your Practice

We help make your transition smooth and seamless

We make your transition process as simple and streamlined as possible. HTK’s Transition Team will work closely with you every step of the way as you navigate the process of changing broker-dealers, eliminating hassles and managing the details of your affiliation, including:

  • Counseling you on how to prepare your financial practice for conversion
  • Providing a plan of action, complete with a timeline and checklist of items you’ll accomplish as you change broker-dealers
  • Coordinating the moving of your licenses to coincide closely with the transfer of your investment accounts
  • Auditing your paperwork for accuracy to promote prompt processing and turnaround
  • Offering complimentary, compliance-approved client brochures explaining your new relationship with HTK
  • Obtaining approval of your new business cards, stationery, letters and other client materials.

Changing broker-dealers is an important decision. Our transition process helps you enjoy a seamless shift with minimal impact to your business.

HTK Transition Team

Transitioning your practice is a major step, but we’re here to ensure that you have everything you need so you can focus on your business. Part of our commitment to operational excellence includes making it as easy as possible for you to assimilate to our firm.

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Dusten Long

Director, Advisor Support &
Product Management

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Suzanne Young

Advisor Support
and Transition Consultant

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Zina Lauman

Senior Products Specialist

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Jennifer Wenzel

Advisor Support
and Transition Consultant

To contact a transition specialist, contact the HTK Transition Team at 1-800-873-7637, option 3 or send an email to htktransitionsupport@pennmutual.com.

Sales Support Team

Our sales desk is staffed with highly trained associates dedicated to answering your questions, addressing your needs, and supporting your sales efforts.

Field Service

Our dedicated team works with you to effectively respond to questions, concerns, and inquiries raised by clients about their investments, account status, pending and completed transactions.

HTK Compliance

HTK views compliance as a competitive advantage. We strive to be your on-call experts, so while we’re busy monitoring and keeping informed of the industry’s constantly changing rules, you’re better able to focus on servicing your clients. At HTK, our proactive approach to compliance and our communication with field leaders and advisors helps create better awareness and more importantly, prevent potential problems from occurring.

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