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Avoid the pain when changing broker-dealers | Summit


To ensure a smooth transition as you make the switch, it’s critical that you do your homework. You and your clients’ needs depend on it. Our guide explores what you should know to help you determine the pros and cons of a future business partner, including:

  • How to find out about the broker-dealer’s regulatory history
  • The level of impact that upfront and signing bonus money may have on your practice
  • How to ascertain the firm’s level of resources and support