Southwest Securities?

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Aug 3, 2011 5:33 pm

Anyone have any information on Southwest Securities?  If you worked for them, or work for them PM me and let me know some info.   The real question is this.   Would you leave Sagepoint to go to them?

Aug 8, 2011 4:59 pm

Depends, why do you want to leave Sagepoint??

Aug 9, 2011 11:51 am

It's not so much sagepoint, but the introductory firm I'm with,  I don't think it's a good fit for me.  I don't necessarily want to leave Sagepoint because I like their support and I like being Indy BD.  I just can't find out enough about Southwest yet, but I have a meeting with the local branch manager this week to feel him out and for him to feel me out.  

Aug 7, 2012 2:02 pm

I joined SagePoint in 2010 and left them 16 months later. They are a wonderful groupl of professionals. Excellent technology. The big problem is they have a crushing number of rules which significantly impede the forward movement of an independent reps busness.

The amount of frustration I experienced, day by day, with ACATs, Wire Transfers, VA Suitability, etc. was disabling.

I'm not surprised by your desire to leave as much as I'm surprised everyone doesn't leave.

Aug 8, 2012 11:15 am

I'm not sure if you met with them already? We use their platform for our brokerage biz.........so I do not work for them. I can tell you that their back-office is not the best. Their platform is not bad but it is older. Lots of patches keeping it going. They need an overhaul. Little communication and no follow up from them.

Aug 24, 2012 2:04 pm

We are an Indie BD andhave cleared with SWS for many years. Excellent bunch. You would make more money joining us (if there is a business fit) as opposed to going with the SWS indy outfit.

Aug 24, 2012 2:04 pm

We are an Indie BD andhave cleared with SWS for many years. Excellent bunch. You would make more money joining us (if there is a business fit) as opposed to going with the SWS indy outfit.