Best practices for switching firms and attracting new talent.
Transition
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.
Independence Without the Burden
Branches Can Provide a Balance of Flexibility and Support
Welcome to the Post-Protocol Era
The Financial Advisor Recruiting Protocol authors inadvertently created a monster, so it’s no wonder Morgan Stanley wanted out.
OSJs: Add Value and Increase Rep Stickiness with Well-Planned Branch Events
Advisors consider time their most precious resource. By planning an event focused on helping your advisors grow their individual practice, you add value as a branch leader, build loyalty among your advisors and attract new advisors to your group.
Recruiting: Repriced and Remodeled
The recruiting world changed forever on October 27, 2016. That’s when the Department of Labor sent shock waves through…
Five Questions Every Advisor Should Ask Before Moving to a New Firm
In the span of a career, most successful financial advisors will have the opportunity to join a new firm. Switching firms can be exciting, but it can also open the door to legal issues. If you’re considering a move, ask yourself these questions to determine if it makes sense for you.
Stifel Branch Managers Have the Freedom and Flexibility to Do Things Their Way
Ele joined Stifel after a thorough due diligence process where she experienced our advisor-first culture, our thriving entrepreneurial environment, and the freedom to lead and grow without being micro-managed.