Broker Check

Consider making a move.

Choosing to make a professional change of this magnitude requires experience, especially if you haven't been through it before.  In partnership with Osaic Wealth, our two teams work together to provide substantial transition resources to create a pain-free, seemingly effortless transition experience.

  • ARG's transition team will meet with you weekly before, during, and after transition to focus on highest priority tasks so you hit your pre-determined affiliation day and 90 days post affiliation.  Our transition team has a wealth of shared experience and unparalleled commitment to serving our advisors through their transition and beyond.

  • A dedicated transition staff at Osaic, our broker-dealer, will help provide concierge-level assistance with all levels of your transition.  They will help you learn new systems, process account openings and transfers, and quickly respond to any issues.

  • When appropriate, we work with an external consulting group, that will work with you to aggregate client data from multiple CRM and data sources and pre-populate your transition paperwork.  When it comes time, you can simply generate e-signatures (and some wet-signature paperwork when required) across your entire book of clients.

  • As a result of the deep resources of Osaic, their appetite for growth, and commitment to competitiveness, we are able to offer substantial transition packages to advisors with significant practices.  We can put together a formal written offer to you in a matter of days.  We recognize that a transition can be an intimidating thing, and we are committed to making sure that it not only holds long-term benefits, but substantial immediate financial benefits as well.

Your transition team that makes the dream work!

Julia Schwientek<br/>Vice President of Operations

Julia Schwientek
Vice President of Operations

During advisor transitions, one of Julia's most important roles is creating a clear process to follow for both the transitioning advisor, as well as the transition team supporting that advisor.  Julia is often referred to as our transition team “quarterback,” leading weekly transition calls (pre-affiliation and post-affiliation), following up each weekly call with an updated Action Item list for the team.  She will also build a working Transition Checklist which is updated weekly as a reference point to keep the team organized and on track.  This organization allows advisors to focus their time where it really matters most – their clients and their business.  We know that transitions involve a lot of dedicated time and effort in a completely new environment.  Julia works with our team to make sure that newly affiliated advisors are getting access to new systems & integrations in a timely manner, she will help schedule training sessions, and will remain a point of contact to advisors from the start.

Stacey Jonson<br/>Vice President of Marketing

Stacey Jonson
Vice President of Marketing

Advisor transitions are an exciting time for Stacey.  It gives her an opportunity to work closely with advisors to evaluate whether a new brand is appropriate and what it might look like as well as the message behind the possible new brand.  Once decided, if needed, she'll design and implement entire brand packages including, but not limited to, business cards, letterhead, forms, documents, websites, and social accounts. Beyond transition, she helps advisors implement Client Care Models that consist of marketing campaigns and client interactions/events.  She'll also ensure technology solutions are integrated and working together to provide advisors the best opportunity for success.

Samantha Crabtree<br/>Manager, Contracts &#38; Licensing

Samantha Crabtree
Manager, Contracts & Licensing

When an Advisor chooses to join ARG, Samantha will be one of the first points of contacts during the onboarding process and transition. Samantha helps advisors through the entire onboarding system which includes updating personal information, office information, Outside Business Activities, Online U4, registrations, licensing, appointments, technology set up and more. Once an advisor is set up in our system, Samantha works closely with the new hire to ensure all outstanding documents and requirements are met before transitioning. Samantha also works side by side with our compliance and marketing team to make sure our advisors are set up to the highest standard and compliant with FINRA. During transition, she is a part of transition meetings where new advisors have access to our team members for any questions they may have throughout the entire process.

Once an advisor joins ARG, Samantha helps with contracting, licensing, registrations, and commissions between the advisor and all 50+ insurance carriers available. From the beginning stages of setting up the appointment, to submitting business through our platform, all the way to the final stages of receiving payment, she will be sure it is a seamless experience.

Michelle Heffel<br/>Vice President of Supervision &#38; Compliance

Michelle Heffel
Vice President of Supervision & Compliance

As the Vice President Supervision and Compliance, Michelle is the delegate for supervisory and compliance responsibilities of the OSJ and satellite branch offices. She acts as a liaison between the financial professional and the Firm’s compliance and supervision departments. Rather than reaching out to a Firm’s 1-800 number for questions, she is your dedicated individual for supervision and compliance questions and guidance.

Prior to affiliation, Michelle will get to know you, your staff, and your securities practice.  She help identify various account types/registrations that may require additional disclosures/paperwork.  She assist in training on the various systems that you will use to transfer your book of business as well as firm client documents and the clearing firm document requirements.   

Once affiliated with the broker/dealer, she helps ensure that proper business and ales practices are followed.

Post affiliation, Michelle will help you with OBAs and Personal Security Account Reporting, ADV Part 2B disclosure document requirements, help you navigate the paperwork and disclosure requirements that pertain to various security regulations.  She's also a resource for general help with the various technology systems for account management as well as electronic client file records.