THIS MONTH'S FEATURE

Exploring the Broker Protocol
Litigation against departing brokers has dropped off a cliff since The Protocol for Broker Recruiting was created in 2004 as an agreement between Citigroup for its Smith Barney unit, Merrill Lynch, and UBS Financial Services Inc. The two-page document now has more than 400 signatories, including registered investment advisors who are actively recruiting.

But make no mistake: firms will sue advisors who don't properly use the protocol, and indeed there is still ample litigation over advisors who switch firms. As such, when you are planning to leave your firm, it's important to understand what the protocol is and what it isn't. More

Giving Back to the Community
When it comes to building trust with clients, what better way to do it than through outside involvement in the community.

That's a lesson many advisors are taking to heart through the various volunteer opportunities they participate in. For these advisors, boosting business isn't the main motivator, but they say it does help paint their companies in a positive light and, in many cases, has led to referrals they might otherwise not have received. More

Advisor Corner

Transitioning to Independence: Making the Move —PART 3 OF A THREE PART SERIES
Welcome to the last in our three-part series on transitioning to independence. In this issue, we discuss your actual move and the many things you need to think about as you prepare to take the leap to independence. Read on for some valuable insight from Jennifer Gitto, strategic relationship manager at TD AMERITRADE Institutional who specializes in helping advisors make transitions. More

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