Tools

Small Market Broker-Dealers: The New Reality

Small Market Broker-Dealers: The New Reality

18 Oct 2017

Acquisition or Affiliation May Be the Choice Small business owners face many challenges, and this is certainly the case for owners of regional broker-dealers. This paper addresses the challenges impacting regional broker-dealer owners, and examines how affiliating as...


Guides
Growing Your Branch

Growing Your Branch

24 Aug 2017

Grow Advisors into Higher Producers Chris Holloway, President and CEO of Investor Securities Group, talks about how the influences of various departments at Securities America have helped him grow his business.


Videos
The Ultimate Guide to Hiring Staff

The Ultimate Guide to Hiring Staff

14 Aug 2017

Professional support staff help advisors with administrative, marketing and financial planning activities. To remain competitive, advisors must service their existing client base and meet financial planning objectives. Having support staff frees advisors from administrative and technical details so they can...


Guides
Incentive/Bonus Program Sample

Incentive/Bonus Program Sample

12 Aug 2017

To manage your staff's pay structure, create additional loyalty and foster an environment of ownership into the business, institute an incentive or bonus program.


Samples
Associate Advisor Compensation Guide

Associate Advisor Compensation Guide

10 Aug 2017

This guide will help you create a compensation plan that is right for your firm based on what you can realistically afford.


Guides
Employee Self-Evaluation Performance Review

Employee Self-Evaluation Performance Review

09 Aug 2017

This self-evaluation will help you and your employee review progress and plan for the future.


Samples
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