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Spotlight on Transitioning from a Big Bank or Wire House to Your Own Investment Advisory Firm

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If you are a registered representative working for a big bank or wire house, you may be wondering what it would take to start your own advisory firm. This document highlights the major legal and regulatory considerations and pitfalls in transitioning to your own investment advisory practice. We provide you here with an overview of the major issues to consider and the factors you should take into account in deciding whether to become independent.

 

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