Added on March 2018 in Join an RIA
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Summary: It's not only legally dubious for wirehouse brokers planning to go independent to solicit clients for their new firm, it's unnecessary, says Tim Oden of Schwab Advisor Services.
Added on March 2018 in Join an RIA
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Summary: Financial advisors at large wealth management firms don’t necessarily need to come up with a business plan — but they must be prepared to live off their savings and to study the firms that they’re leaving, as well as their place within them, to understand whether they can go independent, Syracuse University professor and venture investor Carl Schramm tells ThinkAdvisor.
Added on March 2018 in Join an RIA
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Summary: The bank disclosed new federal scrutiny regarding possible sales misconduct within Wells Fargo's wealth management unit. The latest in a series of revelations could hobble the firm’s efforts to stem financial advisor attrition and recruit new talent.
Added on March 2018 in Join an RIA
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Summary: How can breakaway FAs be certain they’re not breaking the law when reaching out to former clients? After all, concerns about whether advisors broke their contractual agreements by soliciting old clients to join them at their new firms are at the center of many current disputes between broker-dealer firms and their former FAs.
Added on February 2018 in Join an RIA
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Summary:
