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Part 2: New Levers of Control: Employment Considerations for Going Independent

Scott M. Brown, JD, Director, Securities & Regulatory Compliance
Across the securities industry, financial advisors are finding themselves drawn towards the idea of the "flight to independence" due issues such as their employers being in the news for the wrong reasons and deteriorating client relationships coupled with the unprecedented potentials available to boutique firms. However, advisers in transition face a multitude of challenges before, during, and after the transition.

Join MarketCounsel in a 4-part series, New Levers of Control: A Candid Discussion About Becoming an RIA, to help you navigate through the important subjects that arise on the path to becoming an independent RIA including:
-Legal and compliance considerations
-Employment challenges under FINRA rule
-Corporate considerations of equity and branding
-Reimagining the business while addressing the regulatory challenges

Part 1: Legal and Compliance Considerations
-Available to view on demand now-
Presented by: Daniel A. Bernstein, JD
Director, Professional Services
MarketCounsel
Apr 11 2012
40 mins
Part 2: New Levers of Control: Employment Considerations for Going Independent
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Thought Leadership for Financial Advisors (TLFA) provides Registered Investment Advisors (RIA) and fee-only financial advisors with practice management insights. You can find industry luminaries presenting weekly webinars on topics such as social media, marketing, referrals, engaging the affluent, compliance, life planning, retirement planning, and succession planning.

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  • Title: Part 2: New Levers of Control: Employment Considerations for Going Independent
  • Live at: Apr 11 2012 5:00 pm
  • Presented by: Scott M. Brown, JD, Director, Securities & Regulatory Compliance
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