9 Things You Can’t Afford To Overlook When Considering A Move To A New Broker Dealer

  1. Who owns the client: The advisor or the broker-dealer?
  2. When was the last time the broker-dealer changed the FA compensation plan?  
  3. How many practices did the broker-dealer bring in over the past year?
  4. How successful have prior FAs been in bringing over 70% of their assets to the new broker-dealer?
  5. How long has the current CEO been in their position?  
  6. What was the most recent enhancement the broker-dealer made to improve the FA platform?
  7. Has there been a recent platform improvement for clients?
  8. Does the broker-dealer brand/promote the FA or broker-dealer?
  9. Will the broker-dealer show you a live tech demo (not screenshots)?

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