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…
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
Succession Planning 101: Safeguarding Your Business
David Sobel wrote a Legal Tip for Jacko Law Group titled Succession Planning 101: Safeguarding Your Business in April, 2018.… Read More
Are You Considering Breaking Away?
The number of advisers considering breaking away from a traditional broker-dealer business model is on the rise. According to the latest research from Echelon partners, last year alone, more than 400 teams broke away from their broker-dealers to go…
Cover Your Legal Bases When Breaking Away
Jacko Law Group, P.C. (“JLG”) wrote the article titled Cover Your Legal Bases When Breaking Away which was published in the Financial Advisor IQ on June 2, 2016.… Read More
Breaking Away: Vital Considerations For The Transitioning Advisor
Jacko Law Group, P.C. (“JLG”) wrote a Legal Tip titled Breaking Away: Vital Considerations For The Transitioning Advisor in April, 2016.… Read More
JLG Legal Risk Management Tip – The Importance of Strategic Transition and Business Succession Planning
Considerations that Businesses Should Keep in Mind Prior to Implementing a Transition and Business Succession Plan…
JLG Succession Planning Checklist
Succession planning, particularly related to retirement planning, transitioning to a new business model, or merging with a new team, can be complicated. JLG has created the following checklist to assist you navigate through various considerations. …