Compliance for advisors gets trickier and trickier every day. No advisor is a compliance expert and many – unwittingly so – will find themselves in sticky situations which ultimately result in termination. The top priority for the firms when in comes to compliance issues with an advisor is protecting themselves, even when the advisor is unaware that they committed any transgressions. In this episode of the ‘Financial Advisor’s Advisor’, Part 2 of two-part series, Elite Consulting Partners CEO Frank LaRosa puts the advisor first and gives practical advice on compliance-related termination, breaking down the top ten situations advisors find themselves in that will most often result in termination so an advisor can protect themselves from making any pitfalls.
Ep. 10: Ignorance is Bliss – The Top Ten Ways Advisors Make Mistakes That Result in Termination (Part 2 of a Two-Part Series)
