Illness, injury, and wears and tears of aging put extreme stress on a person’s life physically, emotionally, and financially. When a spouse becomes ill or a parent loses mental capabilities, the two main priorities become healthcare and family time.
I am on a flight on my way back from the 2016 WinOPS User Groups Conference in Denver for a group of BD Operations and Compliance professionals where I was invited to speak on a panel with Industry Titans, John Simmers (former CEO of the ING Advisor Network with more than 8,500 registered representatives) and Jane Reilly (President of NSCP) about the current state of DOL and what we should be doing.
Vanderbilt Financial Group CEO and Impact Enthusiast, Steve Distante, had the pleasure of sitting down for a chat with Kevin Mahn on February 19th, 2016. This is part two of our two part interview series; if you missed part one, you can check it out here!
Vanderbilt Financial Group CEO and Impact Enthusiast, Steve Distante, had the pleasure of sitting down for a chat with Kevin Mahn on February 19th, 2016.
We know it can be scary to move to an Independent Broker Dealer and The Protocol for Broker Recruiting can sometimes be confusing- but it doesn't have to be! Here's a crash course to help you sharpen your Protocol knowledge about making a move.
Anyone who was a Registered Representative in the 90's or earlier will remember the legal headache that came along with the thought of changing Broker Dealers. The decision to move was fraught with the risks of being sued by your old firm and losing your book of business. In 2001, FINRA created Rule 2140 which allowed clients to transfer accounts from firm to firm in order to follow their advisor when they move. The Protocol for Broker Recruiting of 2004 states that firms who joined Protocol must let RRs retain their client list when they move to another Protocol firm, free from the fear of being sued.