Financial services professionals – executives, RRs and IARs – have many reasons why a change of firm affiliation may be appealing and many issues to consider and decide in order to make the right move. Beyond just financial considerations of a firm change, there are issues to address such as client retention, disruption to business mix, dissolution of the past firm relationship and consummation of the future firm relationship. Rob Moses can help you chart the best path, making well-considered decisions and navigating favored terms in relation to all aspects of your transition, including but not limited to:
- Bonus Loan Arrangements
- Branch Personnel
- Business Models: Employee vs. Independent Contractor
- Client Portability
- Employment Agreements
- Firm Backgrounds and Reputations
- Forgivable Loans
- Independent Contractor Agreements
- Investment Advisor Representative Agreements
- Investment Portability
- Non-Compete Agreements
- Non-Disclosure Agreements
- Non Disparagement clauses
- Non-Solicitation Agreements
- OSJ Agreements
- Outstanding Loans
- Partnership Arrangements
- Potential Earnings
- Privacy Policy and Client Information
- Protocol for Broker Recruiting
- Registered Representative Agreements
