Legal Lessons for Advisors Making a Move

Advisor Talk with Frank LaRosa · Dec 9, 2021 · 48m

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…