Tools - Guides

Branch Builder Personal Values Quiz

Branch Builder Personal Values Quiz

17 Jan 2018

Answer the questions in this quiz to determine an accurate assessment of your personal values and strengths as a branch manager.

Benefits of Joining a Branch

Benefits of Joining a Branch

15 Jan 2018

What if a move to an independent business model could be free of the worries that drain your productivity? Joining an established branch office of an independent broker-dealer is the perfect platform for increased flexibility and earning power that comes...

Ultimate Guide to Managing Staff

Ultimate Guide to Managing Staff

16 Nov 2017

Hiring support staff means you are building a team. For your team to do well, every member must be recruited and selected carefully, compensated fairly, trained appropriately and managed well. Learn how to prepare for your new employee, manage performance...

Contingency Planner

Contingency Planner

08 Nov 2017

To be prepared when a crisis occurs, you need to start planning today. This workbook walks you through gathering key contact information and establishing plans for various emergencies.

Branch Culture Elements

Branch Culture Elements

08 Nov 2017

These nine elements provide a framework for articulating your branch's culture to prospective advisors.

Building Your Emergency Marketing Kit

Building Your Emergency Marketing Kit

07 Nov 2017

You never know what the future holds. Be prepared.

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...

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...

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.

New Assistant Training: Financial Planning and the Financial Planning Process

New Assistant Training: Financial Planning and the Financial Planning Process

09 Aug 2017

This guide will help new assistants learn the six components of financial planning and how they can help advisors in these areas.

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