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Legal Dos And Don'ts When Leaving Your Brokerage And Going Independent Hot

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TD Ameritrade, a large custodian for RIAs, sponsored a presentation by Peter Savarese of Natoinal Compliance Services about dos and don'ts of going independent, with a focus on how an advisor can avoid legal issues when leaving a brokerage.  View Savarese's presentation  and listen to the audio.

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