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Archive for May, 2011

Does Your Firm Own Your Clients? An Important Issue When Going Independent

Friday, May 27th, 2011

By Scott C Matasar Esq. One of the first questions that often comes up when I am speaking with registered reps who are considering leaving a wirehouse to go independent is whether they can take their clients with them.  Financial advisors often have restrictive covenants in their employment agreements that prevent them from soliciting their […]

Fidelity Poll Finds Broker-Dealer and RIA Firms Focused on Hiring in 2011

Wednesday, May 25th, 2011

New Clients to Be No. 1 Driver of Growth This Year With the unemployment rate back up to 9 percent, three-quarters (75%) of U.S. broker-dealer and independent registered investment advisory (RIA) firms are planning to hire up to 30 percent more employees over the next 12 months, according to a new poll conducted at Fidelity […]

Choosing A Business Entity for your Independent Practice- A Q&A with Deborah Sweeney, CEO of MyCorporation

Friday, May 20th, 2011

A major part of the process of going independent is to set up a business entity and deciding on which of the various types is the correct one to use. Although we can’t provide a definitive answer to that question – as it depends on a number of personal and legal variables – we can […]

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