Broker Dealer Change Specializes in Placement of Financial Advisors
with Top Independent Broker Dealers Nationwide
Top Independent Broker Dealers
Broker Dealer Change is a nationwide, recruitment firm exclusively for financial advisors. We specialize in the placement of financial advisors with top independent broker dealers. With our vast network of Independent Broker Dealers we are able to assist our clients regionally and nationally. With over 30 years experience, we work with our clients, through each step of the process to insure they find the best Independent Broker Dealer for their needs.
Placement of Financial Advisors
Broker Dealer Change was founded for the financial advisor considering changing their Broker Dealer firm. As the financial advisor’s “agent,” we help them find top Independent Broker Dealers to best meet their professional criteria. With over 30 years of industry experience, we are able to help them analyze the best Independent Broker Dealers for their practice.
Contact Us Today!
FEE PAID ~ The Independent Broker Dealers we represent pay our fee. We understand the complexities of trying to find a broker dealer and our team will help you through each step of the process. Contact us for a complimentary, no obligation consultation. Call us at 678-670-9379 or fill out our online form to schedule personalized consultation.
From our nationwide network, we will help you find the best Independent Broker Dealers to match your the needs of your practice. We use a comprehensive consulting approach, designed to search for the best Broker Dealer firm for your practice. Broker Dealer Change helps Financial Advisors analyze all of the options and questions involved in switching Broker Dealer firms. We have been working with and developing relationships with regional and national Independent Broker Dealers for over 30 years. We understand the financial industry’s clearing platforms, product offerings including each firm’s core philosophy. This enables our team to identify and find the best Independent Broker Dealers to suit your needs and preferences. Read more »
We Work With You Every Step of the Way
At Broker Dealer Change, we will work with you every step of the way as your “agent” to work through the firm information, schedule calls and meetings, and provide advice on which offers may be more attractive. Read more »
Ensure a Smooth Transition
Once the decision is made on which Broker Dealer firm to go with; we get you engaged with that firm’s transition team, to ensure a smooth transition. Our goal is to make this transition as smooth as possible. In some cases, the Broker Dealer will place people in your office to assist you in moving your client accounts. Read more »
- The Big Switch...
The Big Switch – How coaching helped a Financial Advisor bring his clients over to his new firm
A case study by Success Skills Coach Jim Rohrbach
“Did you ever have to make up your mind? You pick up on one and leave the other one behind It’s not often easy and not often kind Did you ever have to finally decide?” The Lovin’ Spoonful
Successful financial advisors are constantly being recruited to join a new firm. With promises of a big payday, better working environment and enhanced capabilities for serving clients, an offer can be hard to refuse.
Yet changing firms is never an easy decision. Even after careful consideration to make the leap, FA’s run into a myriad of both anticipated and unforeseen challenges: Getting told “no” by clients who you were sure would come along with you, having your name dragged through the dirt by former colleagues, feeling your head spin with unfamiliar people and processes. All this can lead one to ask, “What the heck was I thinking???”
Such was the case for Mike B,* a west coast transplant who moved to a major Midwestern market. He contacted me one December after joining a new organization the month before. Mike had built a nice-sized book of business over the prior decade but felt constrained by a partnership that had been deteriorating for several years. He was brought over by John C,* the manager of a large office, who negotiated a hefty up-front signing bonus with Mike that tied him to the new firm for the next nine years. Read more>>
- Department of Labor's Fiduciary Rule Divides...
Financial Advisors and Brokers believe that the SEC will deliver a fiduciary standard because consumers want it…
Investment News, Jeff Benjamin reported, on 3.16.2018 – reported that the latest blow to the Department of Labor’s Fiduciary Rule continues to divide the financial advice industry including Financial Advisors and Brokers.
“It’s a shame we keep having these conversations when we should just put our foot down, because there shouldn’t be an argument about whether it’s good to put the clients’ interests first,” said Elliot Weissbluth, chief executive of HighTower Advisors.
Reacting to Thursday’s ruling by the Fifth Circuit Court of Appeals, which vacated the DOL fiduciary rule, Mr. Weissbluth called out those that have opposed the fiduciary rule. Read more »
- SEC Moving Forward on Fiduciary Rule Despite DOL...
SEC forging ahead on fiduciary rule despite DOL rule decision in 5th Circuit
Chairman Jay Clayton says ‘the sooner the better’ when asked when an SEC fiduciary rule will be ready….
Securities and Exchange Commission Chairman Jay Clayton said Monday that the agency is moving forward on a fiduciary rule and its work would not be affected by a court decision last week that struck down a similar Labor Department regulation.
On Thursday, the 5th Circuit Court of Appeals vacated the DOL fiduciary rule, Read more »
- FINRA to streamline Broker Dealers Exams...
CEO Robert Cook says three examination teams may be consolidated
“Investment News, Mark Schoeff Jr. reported on 3.20.2018 – that Finra could streamline its examination program this year for Broker Dealers.
Robert W. Cook, president and chief executive of the Financial Industry Regulatory Authority Inc., said the agency is reviewing the structure of its exam function, which involves three teams: sales practice, risk oversight, and operational regulation and market regulation.
“We’re going to be looking at whether it makes sense ultimately to consolidate — if so, how — or to coordinate. That’s a decision I expect we’ll be making this year,” Mr. Cook said Tuesday at the Securities Industry and Financial Markets Association Compliance & Legal Society conference in Orlando, Fla. Read more »
Why Advisors Are Flocking to Privately-Owned Broker Dealer Firms
By Mrinalini Krishna April 1, 2019
Financial Advisors bolt from Waddell & Reed
The broker dealer lost 56 brokers & financial advisers in the third…