Crucial Considerations Before Leaving A Wirehouse

Crucial Considerations Before Leaving A Wirehouse
Ryan Shanks
Finetooth Consulting
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IMCA - 1 credit

Many successful brokers at Wall Street firms have chosen to go independent in recent years because they want to provide clients unbiased advice and reap the benefits of owning an advisory firm.

Before you can begin to think seriously about going independent, however, you must address crucial questions such as:

  • How can you avoid a breach of contract with your current employer?
  • Should you start your own firm or join an existing one?
  • How do you start the B/D and custodian selection process?
  • Will you hire legal counsel and if so, then who?
  • How much capital do you need to get started?

At this webinar, you’ll learn answers to these questions.

Guest speaker Ryan Shanks is founder and CEO of Finetooth Consulting LLC, which provides retail and institutional transition advisory, practice advisory, and succession planning to financial advisors, RIAs, and broker-dealers. Before founding Finetooth in 2006, Shanks was VP of Business Development for Associated Securities Corp., an independent broker-dealer located in Los Angeles, CA.

 

This webinar is approved for IMCA® CE credit.

 


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(Updated: March 31, 2011)
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4.0

He covered many points about the contracts costs and strategies of moving from 1 bd to another.

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4.0

Good insights. Knowledgable speaker.

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