What to Know For Your Business Transition
The LawTV Video 2: What to Know For Your Business Transition… Read More
What to Know For Your Business Transition
Whether it’s transitioning or breaking away, things like legal risks, business factors, and regulatory concerns, must be handled with care. Let our experienced team help.
Top 3 Considerations During the Breakaway & Transition Process
In recent years, there has been a considerable increase in the number of financial advisors who are looking to break-away and transition to careers with registered investment advisory firms (“RIAs”) or even launching their own RIA seeking more independence, control, growth opportunities, and increased compensation.
The Importance of Succession Planning
I think most of us would agree over the past three months we have all come to expect the unexpected. In our September 2019 Legal Risk Management Tip, we discussed the importance for smaller financial industry firms to consider succession … Read More
Breakaway 101: FAQs for Transitioning Advisors
The January Risk Management Update was written by Jacko Law Group, P.C. (“JLG”) and published on January 28, 2020.… Read More
5 Simple Guidelines for Navigating Form U5
Throughout any financial professional’s career transitions are inevitable and an integral part of the transition is the filing of a Form U5. For those who are unaware, Form U5 is a formal documentation…
How Termination Events Trigger Form U5 Disclosures
Form U5 is the Uniform Termination Notice for Securities Industry Registration used by broker-dealers and investment advisers to report information about a variety of matters regarding a registered representative or investment adviser representative (“associated person”) of that firm.… Read More
Succession Planning 101: FAQs to Consider
The Legal Tip for Jacko Law Group titled Succession Planning 101: FAQs to Consider was written in March, 2019.… Read More
What To Consider When Onboarding New Advisors
Over the past several years, Jacko Law Group, PC (“JLG”) has seen an increase in the number of financial advisors transitioning from one broker-dealer or registered investment advisory firm to another. … Read More
Strategic Considerations For The Transitioning Advisor
Investment adviser representatives and registered representatives (together, “Advisors”) face numerous issues when making a move to a different financial services company. Even the strongest relationship with an employer can be strained when a departure occurs as the Advisor is generally attempting to transfer client relationships (and corresponding revenue) to the new company. … Read More