Branch / OSJ Resources

Struggling Small Broker-Dealers Finding New Life as Super Branches

Struggling Small Broker-Dealers Finding New Life as Super Branches

01 Feb 2018

Regardless of what the future holds for the Department of Labor’s embattled fiduciary rule, it’s clear the industry is facing ever-tightening regulations and the increased cost of compliance.  Consequently, more and more small and mid-sized independent broker-dealers are surrendering their costly supervisory and compliance responsibilities and rolling up under independent advisory and brokerage firms as super branches.

The Right Plan, the Right People at the Right Time

The Right Plan, the Right People at the Right Time

23 Aug 2017

The winning mix that helped a young advisor build a growing OSJ group.


Grow Your Branch
Benefits of Transitioning from a Small Broker-Dealer to a Super OSJ

Benefits of Transitioning from a Small Broker-Dealer to a Super OSJ

12 Apr 2017

Once you've transitioned from a broker-dealer to a super OSJ, you'll no longer need to worry about these responsibilities.


Grow Existing Program
Independence Without the Burden

Independence Without the Burden

08 Mar 2017

Branches can provide a balance of flexibility and support.


Better Branch
Providing a Safety Net

Providing a Safety Net

28 Feb 2017

Recognizing risks, some branches now offer built-in continuity and succession plans


Efficient Branch
When Recruiting, Don’t Overlook Niche Markets

When Recruiting, Don’t Overlook Niche Markets

17 Feb 2017

The Department of Labor’s Bureau of Labor Statistics predicts personal financial advisor positions will grow by 27 percent over the next 10 years.


Grow Your Branch
The Blueprints for a Bigger Branch

The Blueprints for a Bigger Branch

15 Feb 2017

How four visionaries built their super branches from the ground up.


Grow Your Branch
4 Strategies that Call for Adding Associate Advisors

4 Strategies that Call for Adding Associate Advisors

15 Feb 2017

With the failure rate for new advisors at 80-90 percent, hiring associates can be a costly decision if not handled correctly from the start.


Grow Your Branch
Small Broker-Dealers Enjoy Big Benefits as Branch Offices

Small Broker-Dealers Enjoy Big Benefits as Branch Offices

15 Feb 2017

Growing regulatory risks, shrinking margins and increasing litigation have the owners of many small and mid-sized broker-dealers in search of an exit plan.


Efficient Branch
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