Transition

3/19/18 | Opinion, Transition | 7 Comments

We’re Heading to a Salaried Broker Model, and We’re Broken-Hearted

Struggling Small Broker-Dealers Finding New Life as Super Branches

1/16/18 | Practice Management, Sponsored, Transition

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

1/9/18 | Opinion, Transition

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

12/11/17 | Practice Management, Sponsored, Transition

Branches Can Provide a Balance of Flexibility and Support

Welcome to the Post-Protocol Era

11/1/17 | Sponsored, Transition | 3 Comments

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

9/25/17 | Sponsored, Transition

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

6/28/17 | Transition

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

6/22/17 | Transition

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

4/20/17 | Transition

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.