Recently Terminated Advisors
Elite Consulting Partners consults with financial advisors that have been recently terminated by their broker-dealer. Many terminated advisors end up spinning their wheels and wasting time working with firms that don’t understand the sensitive nature of the road. Wasting time working with a firm that doesn’t truly understand how to help can be devastating to your business. It’s imperative that you limit the amount of down time you have in-between firms.
We also have the knowledge to guide you through the legal maze of FINRA rules and regulations that you are about to enter. There are various steps we can help you take prior to retaining legal counsel. However, there are many situations that will require the services of a good attorney. We work with, and can recommend, several top FINRA legal professionals to help ensure that your transition from one firm to another is handled correctly and your CRD language is appropriate.
If your goal is to remain in the financial services business and find the right firm or platform provider for your clients, your business and your family, then we can help you in your search. We work with some of the best firms in the industry; from Wirehouse firms, Super-regionals, and Regionals to independent platform firms. With these connections we can find the right fit for you.