A nearby supervisor and some shared office space are old hat. Today’s best offices of supervisory jurisdiction deploy professional business consultants, guerrilla marketing and innovative transition strategies to large pools of independent brokers. The imminent regulatory changes will only add to their appeal.
For firms that don’t pay their arbitration awards, Wall Street’s self-regulator plans to bar them from the industry and could seek to impose new rules to make collecting awards easier for investors.
HNW investors are highly prized by most financial advisory firms, but aspiring advisors often underestimate the breadth of business changes that are required in order to properly serve these customers.
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