Legal Lessons for Advisors Making a Move

Topics covered in the conversation include:*best practices, from a legal perspective, for transitioning a book of business and how to avoid making unnecessary missteps.*why it is important for an advisor to consider seeking their own legal and consultative counsel during the transition process.*how to approach clients the right way to ensure a successful move of their account and specific tips on managing client conversations to avoid legal pitfalls.*regulatory oversight and its impact on the competitive desire to keep accounts.The importance of understanding the legal side of making a transition is an imperative for every advisor considering making a move. Put the knowledge in this episode to use so that you take right action as you move forward in achieving your practice and career goals through a transition to the right firm partner for you.