While our on boarding and transitions team is hard at work transferring over your clients for 60 days post join day, we have compiled a landing page of resources to ensure continuity.

Meet Our Team & Contact Info

Please contact Kate Quinn – Manager, Business Strategy, with any questions.

Compliance

Download Compliance Onboarding PDF

Onboarding a New Advisor

  1. Notify GVA in Salesforce – To notify GVA, create a New Hire profile in Salesforce. You can do this by logging into the portal, navigating to the Clients/Household view, and clicking “New” on the top right of the page, then selecting “Advisor – new hire” as type. Enter the hire’s name, title, and personal email address, your office as the Employer, Advisor CRD number.
  2. A GVA Onboarding Specialist will contact the new advisor and walk them through the onboarding process

DBA New Hire Onboarding

  1. Notify GVA via Salesforce (see instructions below in the Details) of the new
    1. If you are IFA-Only (advisory services only) with GVA, please disregard steps 2-5. The GVA Transition Team will work with you directly.
  2. NLA must get fingerprinted at Field Print location (instructions on where to find your location can be found on page 8, Step 11 of your RE-F635-REG form).
  3. Complete LPL’s RE-F635-REG – Memorandum for Non-Licensed Assistant (NLA) and Non-Registered Personnel (NRP) form. This form will initiate Client Works and email access for the NLA. Note: NLA onboarding will be drastically delayed if the RE-F635-REG is filled out Please follow the steps below or work with our dedicated LPL Service Team 40 (888) 575-4742.
  4. Once the NLA receives their welcome email from LPL Financial granting them an email and ClientWorks access, please forward that email to Operations@greatvalleyadvisors.com.
  5. GVA will send final compliance forms with instructions to the NLA for completion and

Detailed Instructions

  1. Notify GVA in Salesforce – To notify GVA, create a New Hire profile in Salesforce. You can do this by logging into the portal, navigating to the Clients/Household view, and clicking “New” on the top right of the page, then selecting “Advisor – new hire” as type. Enter the hire’s name, title, and personal email address, your office as the Employer, and NLA under Advisor CRD field.
  2. Complete GVA Onboarding Fact Finder – Each NLA will receive an email inviting him or her to complete this step. Please make sure to do so as gathering this background information fulfils certain compliance requirements.
  3. NLA receives LPL’s RE-F635-REG – this form will come a separate email accompanied with instructions on how to fill the form.
    1. Fingerprinting instructions will be found on page 8, step 11 of the F635-REG. NLA must complete the fingerprinting process and Notify GVA transition team of completion by sending an email to Operations@greatvalleyadvisors.com. Fingerprints should be submitted prior to RE-F635-REG as the form cannot be processed without the former.
    2. Complete the RE-F635-REG and follow the instructions accurately to avoid delays in processing times.
  4. Send completed RE-F635-REG to GVA Compliance – After the NLA completes the form and reviews for accuracy, send to Operations@greatvalleyadvisors.com. GVA will sign in the required fields, then submit to LPL’s Email@lpl.com on the NLA’s behalf. GVA will CC the NLA and any office onboarding leads on this submission as confirmation that this step has been completed.
  5. LPL Review Process begins – Standard review time is 5 business
    1. Upon submission of the form to LPL, initial processing and registration begins. An LPL specialist will review the submitted materials.
    2. Provided materials are deemed “In Good Order” by LPL, the tech team will begin creation of the online profile. Note: If form is deemed “Not In Good Order” (NIGO’ed), standard review time becomes 5 days from the submission of the corrected
  6. NLA receives a Welcome email from Be sure to forward this email to Operations@greatvalleyadvisors.com. This email signifies:
    1. LPL email has been
    2. DBA email has been linked to the
    3. ClientWorks access has been
  7. GVA sends required compliance forms (3) to NLA – NLA will receive 3 separate emails from Salesforce to their new LPL email address. Each will contain one of the documents listed below. Please open the link and complete the forms within 10 days of receiving your LPL email access.
    1. Initial Disciplinary Certification Report

https://www.greatvalleyadvisors.com/gva-compliance-initial-disciplinary-certification/

  1. Initial Compliance Certification Report

https://www.greatvalleyadvisors.com/gva-compliance-annual-certification/

  1. Initial Personal Securities Holdings & Transaction Report

https://www.greatvalleyadvisors.com/gva-compliance-initial-personal-securities-holdings-report/

For any questions throughout the process, please reach out to us at: operations@greatvalleyadvisors.com

Business Continuity Plan (for branch managers only)

The Business Continuity Plan is required for every branch. It is also required to be updated and tested every year and should be given to each new person who joins a branch. You will need to complete, sign & date, and email a copy to compliance@greatvalleyadvisors.com. The last pages of the BCP are the test pages, to be completed within 12 months and also sent to compliance@greatvalleyadvisors.com. Please CLICK HERE for ClientWorks training on BCP.

Branch Office Security Policy

Attached is the Branch Office Security Policy which includes guidelines on the emailing of confidential information. You are required to complete the New Hire Security and Privacy training module on LPL’s Learning Center prior to receiving full ClientWorks Access.

**This module was completed during the onboarding process**

Please familiarize yourself with the attached Branch Office Security Policy, which is also available on the ClientWorks Resource Center for future reference.

Social Media

Your social media training module was completed during the onboarding process; however, you must also enroll in Social Patrol, a tool that allows LPL to capture posts and automatically scan them for review by Marketing Regulatory Review (MRR).

However, you must also enroll in Social Patrol, a tool that allows LPL to automate by capturing posts and automatically scanning them for review by Marketing Regulatory Review. All Facebook, LinkedIn and Twitter accounts must be registered with Social Patrol before you can post content. The attached guide walks you through signing up via the Resource Center in ClientWorks.

How to Open a New Account with LPL

Advertising Review Tool

All pieces of marketing content that contain your logo need to be reviewed and approved by LPL prior to use. LPL’s Advertising Review Tool (ART), a platform within ClientWorks, provides the ability to submit, track, review, and archive your retail and institutional communications and public appearances. This tool offers a paperless solution to meet your branch advertising file review requirements. CLICK HERE for details and training on ART.

LPL ClientWorks Help Desk – Team 40

Contact the Team 40 – GVA’s dedicated service contacts at LPL – Help Desk for any ClientWorks related questions. See the Playbook PDF below for Team 40’s contacts and best practices.

Client Announcement Letter Best Practices

Onboarding Documentation

Note: All new advisor documentation is proprietary and should not be shared externally.

GVA Transition Timeline

How Does GVA Support New Advisors?

When Great Valley Advisor Group (GVA) was founded, it was built from the ground up with purpose. And at the forefront, the premise that collaboration drives success. As a GVA advisor you are part of a team, a family, and you are never alone.

GVA offers best-in-class solutions to support you through your transition to independence. Our dedicated Transition Team is focused on YOU, working effectively and efficiently to launch you on our platform as quickly and smoothly as possible.

The GVA Transition Team handles your change of custodian so you can continue to focus on your clients and growing your business. A typical transition takes 4-5 weeks; however, we understand that no two transitions are alike, and, as such we take a personalized approach to each.

Innovative Solutions

Compliance

GVA Compliance does the
paperwork for you and ensures
you’re up-to-date on the latest
industry and compliance news.

Asset Management

GVA Asset Management manages
client asset allocation, integrates
industry-leading research, and
reports audited performance.

Succession

GVA provides options for advisors
to choose their desired exit
approach, all while supporting
the client relationship.

Insurance

GVA Insurance Brokers offer
full-service security beyond
financial planning and
asset management.

Technology

GVA Technology suite provides
effortless integration and
support, tailored to your
business needs.

Virtual Admin

GVA Virtual Admin removes
the burden of everyday
tasks so you can focus on
clients and assets.

Related GVA News