Frequently Asked Questions

Yes, you can. Arrangements, including possible discounts and payment plans, should be considered.

Your team agreement allows the team to leave the current firm as a team. If the team will be dissolving, additional planning is needed.

Yes. Your rights and responsibilities will vary according to the precise language of your agreement and state law. Whether the firms are members of the Protocol for Broker Recruiting also will impact the transition planning.

States may delay your re-registration but planning, communication and advocacy can quicken the approval process.

Not true. Several firms may be interested.  

Transitioning involves considerable effort. But for most, and when done correctly, the transition is worth the effort.

The quality of support can vary. That will be a part of the due diligence process.

Firms such as Schwab and other custodians do a great deal, and there are other turnkey type providers that can assist further. But being an RIA is the closest thing to running your own business.

Yes. Monetizing your book can be important, as is ensuring that your practice continues to be preserved and protected.

Yes. Nationwide we work with advisors in all different stages of their practices.