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On Wall Street June 1, 2011 Carri Degenhardt-Burke	Packing Up, Moving On If you are moving to a new firm be prepared and plan, plan, plan!
Registered Rep. October 24, 2013 Mindy Diamond	When Good Advisors Get Fired Sometimes you have to start over in order to have a happy ending, and that can be especially true in this industry.
Financial Planning November 1, 2011 John J. Bowen, Jr.	Learn To Let Go The idea of shedding clients and the revenue they bring may sound reckless, especially in an uncertain economic environment. But working with non-ideal clients is holding you back from reaching your full potential.
Registered Rep. April 1, 2007 Mindy Diamond	New Broker Disorientation Firms are paying gigantic transition packages these days, but they are cutting corners when they bring a new financial on board: There is an almost complete absence of so-called on-boarding, or integration training for new hires, in the brokerage world.
On Wall Street August 1, 2010 Carri Degenhardt-Burke	Tough Career Paths Changing jobs is harder than ever in the finance industry, but you're not the only one feeling the burden.
Financial Advisor October 2011 Joni Youngwirth	The Replacements The pros and cons of choosing an internal successor.
Financial Planning September 1, 2008 John J Bowen Jr	Time to Say Goodbye Today's most successful advisors recognize a simple but powerful fact of business: It's better to work with a small number of great clients than to serve a huge base of clients who are only mediocre.
On Wall Street October 1, 2009 Carri Degenhardt-Burke	How to Avoid a Bad Match The delicate dance between advisor and manager during the recruiting process can break down at any time.
Registered Rep. January 1, 2006 Mindy Diamond	Planning a Safe Journey to Life at a New Firm If well-prepared, brokers can make a great career move by moving to a new firm. Here are some tips for a smooth transition: Legal Advice... Office Space... Client Records... Sales Support... etc.
Investment Advisor February 2007 Thomas D. Giachetti	When Should You Register? Should an investment advisor with $30 million of "assets under management" register with the SEC? It depends on whether the advisor has "qualifying" assets under management.
Registered Rep. September 17, 2010 Mindy Diamond	Five Reasons You Won't Get Hired While hiring managers are still primarily interested in a financial advisor's production and client assets, gone are the days when firms look solely at these criteria.
On Wall Street July 1, 2010 Alan J. Foxman	Dueling Investigators Advisor Q&A: Why must agencies duplicate investigatory efforts?... Should I worry about reps picking up bad habits from old firms?...
The Motley Fool November 7, 2006 Dan Caplinger	When Your Advisor Quits Facing the retirement of a trusted financial advisor can be traumatic. By remaining objective and cautious during your transition to a new advisor, you can take steps to ensure that you will continue to receive the good advice you've come to expect.
On Wall Street February 1, 2011 Carri Degenhardt-Burke	The Year Of The Wirehouse If you are serious about growing your business, get to a wirehouse! And if you just left, go back. It's been a long-standing notion that financial advisors perform better within the wirehouse system.
Financial Advisor January 2006 Raymond Fazzi	Declaration Of Independence More financial planners are leaving wirehouses to become fee-based RIAs.
Investment Advisor August 2008	Do You Believe Your Own Rhetoric? Many breakaway brokers spend more time designing a logo and picking out office furniture than they do planning their exit strategy.
Registered Rep. January 1, 2005 Mindy Diamond	A Clean Escape, With an Accomplice Brokers tempted to leap at a lucrative job at another firm are often held back by inertia, but in increasing numbers they are finding the powerful force they need to get moving: hungry branch managers.
Investment Advisor August 2005 Thomas D. Giachetti	Come Right In Here are some issues pertaining to an advisor's compliance-readiness, including a list of some of the more substantive issues that are currently the focus of SEC examiners.
Investment Advisor November 17, 2010 Thomas D. Giachetti	Will You Stay SEC Registered in 2011? Regulatory changes could cause confusion for advisors
Financial Advisor April 2009 David Lawrence	Migratory Patterns Advisors who want to move to the independent world should spend a lot of time planning the transition.
Registered Rep. June 1, 2005	The Cost of Compliance Q: My current firm recently hired a non-licensed wholesaler to begin marketing our mutual fund family. What liability do I have, given that the wholesaler is not licensed?
Registered Rep. August 1, 2005 Mindy Diamond	Comparison Shopping Here are several categories of information that can help guide a job seeker's evaluation of financial advisory firms.
Registered Rep. February 17, 2015 Mindy Diamond	When You Move, Clients Move Too For an advisor, a prospective new firm and a nice up-front check might be the best thing since sliced bread, but if a sizeable portion of the client base doesn't follow, the move could prove disastrous.
Registered Rep. September 2, 2010 Stevie D. Conlon	Looming Cost-Basis Crunch With less than six months to go, the brokerage community is under intense pressure to prepare for the new cost basis reporting law.
Investment Advisor June 2007 Thomas D. Giachetti	Look Before Leaping For financial advisors, there are many issues to be reviewed before making a decision to leave your current employer. Experienced counsel should be consulted. Every case has similarities, and every case has differences.
Registered Rep. May 1, 2005 Mindy Diamond	What About Your Retirement? Brokers often take a shortsighted view of their careers, and this usually turns an effort to convince them to think about their own retirements into an uphill battle.
Registered Rep. November 1, 2006 Susan Konig	A Big Trade Off? For advisors looking for further independence through a registered investment advisory firm, compliance burdens can increase. Reps working under an independent b/d's umbrella RIA, also known as "dually registered" advisors, must comply with both NASD and SEC rules.
Investment Advisor November 2006 Chris Blunt	Advisors: Natural Facilitators Generations welcome advisors' help in tackling wealth transfer talks.
Registered Rep. February 1, 2005 Mindy Diamond	Customize Your Career As a result of broker dissatisfaction with the status quo, the increasing clout of top producers (at some firms) and the need for firms to keep successful reps happy, we're beginning to see quite a bit more flexibility.
On Wall Street June 1, 2013 Carri Degenhardt-Burke	Clients Weigh In on Transition Pay Debate How will clients react if their advisors transition pay becomes public information?
Investment Advisor October 2007 Joni Youngwirth	It's Not All Gold No doubt, buying a practice is a good way to grow if you find a firm that is right for you. But unless you do, don't be sucked into the buying frenzy.
Financial Advisor November 2010 David Lawrence	Back In The Fold? Will the new regulations force independents to return to broker-dealers?
Investment Advisor April 2009 Mike Patton	Values Advisor The sixth in a series of first-person articles in which the author chronicles his own road to independence from employee advisor to fully independent RIA.
Financial Planning December 1, 2008 Scott Schutte	Setting Yourself Apart The wave of retiring baby boomers in the coming years will pave the way for advisors who wish to move away from traditional investment management and focus on specialized financial planning and wealth management services.
Registered Rep. August 1, 2006 Mindy Diamond	Essential Reading Pay attention to your records. That's what financial advisors are always telling their clients, and they should think the same way about keeping track of their own personal and professional files. Unfortunately, not every advisor does, and their ignorance can cost them dearly.
Investment Advisor February 2009 Thomas D. Giachetti	The Skinny on the Protocol The law is fairly clear that a departing advisor should not bring any customer information to a new employer.
Financial Advisor October 2004 Chaplin & Giachetti	Contingency Planning And Rule 206(4)-7 What must a financial advisor do to comply?
Registered Rep. May 26, 2006 Halah Touryalai	NYSE Cautions Investors on Following Brokers to New Firms The release is part of the "Informed Investor" series developed by the NYSE Regulation to better educate investors. The announcement comes at a time when more reps are choosing to switch firms than at any time since 2002.
Financial Advisor April 2005 Tracey Longo	Winning Over Wirehouse Brokers AIG's transition suites help brokers become independent.
Financial Planning November 1, 2010 Joni Youngwirth	Calling All Advisors Over the past five years, advisors recruiting advisors has become an increasingly hot topic. Why?
Financial Planning March 1, 2011 Roger Verboon	Succession Planning: Moving on Advisors excel at helping clients plan for the different stages of their lives. But when it comes to planning for stages of their own business lives-particularly the last one-many fail to take their own advice.
Financial Advisor March 2012 Joni Youngwirth	When To Prune One can find good reasons to cut clients and good reasons not to. Advisors who do are typically happy they took action.
AskMen.com July 22, 2002 Donald Morrison	Getting A Good Lawyer Throughout the course of your life, you will find that you are going to need a lawyer for major events; buying a home, dealing with a parent's death, starting a business, as well as countless other situations. Knowing how to find a good lawyer is important.
Investment Advisor June 2008 Jonathan Henschen	Transfer Time For advisors pondering a move from a wirehouse to an independent broker/dealer with visions of large, forgivable transition loans dancing in their heads, it's time for a reality check.
Registered Rep. January 5, 2011 Mindy Diamond	Lining Up Your Pros And Cons The following is a list of some of the pain points advisors who want to leave their firm often describe.
On Wall Street May 1, 2012 Bill Willis	The Bank Perspective A growing number of wirehouse advisors are showing more interest in bank brokerage programs today.
Registered Rep. August 29, 2014 Mindy Diamond	Ten Years of Myths and Moving Why advisors need to purge common "myths" from their thinking about changing jobs.
On Wall Street July 1, 2010 Gerri Leder	Life Events: Moments To Build Trust And Relationships When your competence as an advisor is met with the comfort of a caring friend, trust is solidified.
Financial Advisor September 2006 Kristofor R. Behn	Seller Beware Is selling a financial planning practice to an outsider the best way to extract its true value?
On Wall Street August 1, 2011 Alan J. Foxman	When Advertising Is Advertising Marketing a book to existing and prospective clients is considered advertising... Report your employment history as of the date you're filing for registration...