What Are FA’s Trying to “Fix, Accomplish, and Avoid?”

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As a recruiter, I spend a lot of time on the phone with potential candidates who are seeking a career change, or thinking of going independent, or wanting to establish themselves with one of the wirehouses. Before we agree to meet, there is certain criterion that needs to be established. As any successful Financial Advisor [...]

Should Broker Protocol Be Regulated?

Lots of “scuttle” out there regarding Broker Protocol and the changes we’ve seen the past two years (U.S. Trust and their “Garden Leave” has brought the topic back into the limelight). Since the 2004 origin of Broker Protocol, which was used to aid the big firms to recruit, lately the Protocol is also being used [...]