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Sep 19, 2005 9:03 pm

Have been in the business for about 2 years and have 6m aum, I’ve decided for numerous reasons that I want to take my business to a wirehouse (indy’s you are great, but I’m a young guy and feel like the cachet of a big firm will really help me in my market…please don’t fill in the feedback with “go indy!”).  I’ve gotten an offer from ML, but wasn’t blown away… Are there any reps out there from UBS who could give me some feedback on the firm?  Thanks to all in advance!

Sep 19, 2005 9:12 pm

Have you been in production for two years with that $6M in assets, or is it slightly less than that?  That could make a big difference.

Sep 20, 2005 1:37 am


You're still need a name behind you.  At two years and 6 mil AUM, I would tell you that you probably don't have enough assets or experience to go indy yet.

What you might consider is a firm that will let you work in a typical branch setting and then later go indy if you are so inclined.  Raymond James has such a program and is a good might geve them a look...Good Luck