by Bill Willis | Sep 26, 2023 | Financial Advisors
LPL Financial has extended its Liquidity and Succession program beyond its internal advisor base to external advisors seeking to sell their book of business. This program allows advisors to monetize their businesses, whether due to retirement plans or a desire to...
by Patrick M. Kelly | Aug 18, 2014 | Financial Advisors, Financial Recruiters
Over the thirteen plus years of being in the recruiting business, I’ve observed a lot of financial advisors going through the recruiting process who have made two common mistakes which have jeopardized their placement opportunities. Number one is thinking you can do...
by Patrick M. Kelly | Apr 11, 2014 | Financial Advisors, Financial Recruiting Industry, Hiring
“The path to success for a trainee has become substantially more difficult,” acknowledged Bill Willis, President and CEO of Willis Consulting, Inc. in an interview with Ilana Polyak, reporting for OnWallSteetMag. The path to success for a financial advisor...
by Patrick M. Kelly | Feb 28, 2014 | Broker-Dealers, Financial Advisors, SEC
“The agency will ‘intensify’ its focus on the role of financial advisors in 2014,” agency chairwoman Mary Jo White emphasized in a speech Friday morning, February 21 .[pullquote]The agency will ‘intensify’ its focus on the role of financial advisors in...
by Patrick M. Kelly | Feb 25, 2014 | Financial Advisors, FINRA
FINRA’s board of governors approved a rule proposal on Thursday, February 14, that would impose new limits on financial advisors’ ability to remove information about customer disputes from BrokerCheck, the regulator’s online portal where investors...
by Patrick M. Kelly | Jan 10, 2014 | Financial Advisors
Tom Walrond, North Atlantic regional director with Raymond James & Associates (and a very successful recruiter in his own right) says, "The key to a successful transition is to thoroughly plan and prepare for moving your practice. The amount of time you...
