Best practices for switching firms and attracting new talent.
Transition Resources
Blinded by the Light – Wells Fargo Offers Advisors ‘Too Good To Be True’ Deals
Wells Fargo is under siege from every angle and it is easy to understand why. The mountain of corporate missteps, questionable ethics, and outright fraud have resulted in a series of investigations and fines for the once storied wirehouse, the ramifications of which have yet to be fully realized.
What FAs Can Learn From LeBron
LeBron allowed himself to be recruited. He did it quietly, did his homework, looked long term and asked himself what team he wants to grow with and took on some risk. Where do you want to go in your career?
Separating From Your Broker-Dealer: Making It Through the Minefield
Early decisions that are made at the broker-dealer, most often before you are even aware of the termination, can affect you for as long as you remain in the industry.
Hayden Royal Practice Management: Suitability Best Practice
This article will discuss the importance of the risk and suitability assessment and the need for meaningful discussion with the client in order to construct and update an objective investment strategy that meaningfully takes all of the client’s information and objectives into consideration.
Personal Touch Meets Institutional Strength: Client Coverage at Stifel
At Stifel, we take a different approach – we want to insure we are a quality cultural fit for you and your clients, then we insure we have the capabilities to meet your needs.
How Firm Culture Impacts Advisor Breakaway Decisions
Elements such as firm size, history of the firm, and ownership structure, none of which are easy to change, are cultural elements that can serve as indicators of future strength or how an advisor may be treated when they seek support and assistance.
Is the Broker Protocol Collapsing?
Broker Protocol allows for orderly advisor transition so that the client needs are ultimately served, but is it on the brink of collapse?
A Manager’s Journey to Independence
In the words of the great Bob Dylan, “The times they are a changin’.”
We’re Heading to a Salaried Broker Model, and We’re Broken-Hearted
Exits from the Protocol for Broker Recruiting are a grim portent for entrepreneurs.
Struggling Small Broker-Dealers Finding New Life as Super Branches
More and more small and mid-sized independent broker-dealers are surrendering their costly supervisory and compliance responsibilities and rolling up under independent advisory and brokerage firms as super branches.
What to Do After End of Broker Protocol Truce
As in the past, the keys to broker and client portability will be decided in courtrooms and arbitration forums, lawyer says.