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In the News

The New Minimum Requirements of the Advisor-Broker/Dealer Relationship

Posted by Mindy Diamond

WealthManagement-com

By Mindy Diamond

Not that long ago it was enough for an independent broker/dealer (IBD) to provide their advisors with basic clearing and custody and mandatory regulatory oversight. But today, with so many broker/dealers to choose from, advisors have come to expect much more. Higher levels of operational and practice management support, accelerated growth, cutting-edge technology and a strong platform are among the requirements FAs seek when considering a firm.

Yet with so many options out there, what should an IBD advisor do to make sure they are with the right broker/dealer? Is your current b/d still the one that can best serve your clients and allow you to meet your own business goals?

Read more…

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About Mindy Diamond

CEO – By counseling advisors on how to ask the right questions and “dig deep”, she helps them look at all of the opportunities available to find the one that allows them to reach their full potential. That is, to best serve their clients and live a life that is in sync with their own beliefs and values. Learn more...

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