Episode Details

In particular, this episode focuses on client solicitations when making a move. Topics covered by Frank and Brian include:
 

1. Understanding your employment agreement, its restrictions, and how these can impact a transitioning advisor.
    
2. The importance of knowing before your move the policies of the firm you are transitioning to, as well as the firm you are moving from.
    
3. What to do and what not to do when soliciting clients after your move.
    

Making a move to a new firm partner is one of the most important decisions a financial advisor will ever make, both from a career and a financial perspective. Informed legal counsel as part of that process is an imperative. Listen and learn from Frank and Brian and then put their guidance into action.