As a young producer back in 1999, I successfully moved 90% of my clients from Prudential Securities to Smith Barney without violating any rules or regulations. Now, fast forward to 2004 when protocol came into play.
Industry Trends Point to Larger Retail Firm Concerns About Advisors Going Independent
It is not uncommon to hear, on a daily basis, the news of significant multimillion-dollar advisor teams leaving one of the large retail houses to embrace the benefits of going independent.
Elite Consulting Partners Leads Transition of $1.1 Million Dollar Team from Wells Fargo FINET to Raymond James
