3 Questions to Ask Before Going Independent

Summary: As I reflect on the days when I worked with a large brokerage firm, I am reminded of the myriad of onerous rules that were placed on all client-facing advisors and support staff. Many of these rules were the result of actions taken by a few rogue individuals who cared more about their paycheck than the client’s well-being. As a result, compliance came to be known as the “business prevention” department.