Join us today for access to all our resources

What should you expect from your broker-dealer? | Summit


According to InvestmentNews, each year, approximately 9,500 investment professionals leave their broker-dealer relationship for another one. And while financial advisors typically spend a significant amount of time exploring what a new firm can do for them, they seldom spend sufficient time exploring the dedicated resources that the potential new firm has for moving their business efficiently. Our paper offers a checklist of items designed to help you choose the right broker-dealer for your business, including:

  • Researching the firm’s internal culture and character to make sure it aligns with yours
  • Knowing the extent of their compliance oversight for both you and your clients
  • Accessibility to products and services for your clients