Success in Succession Planning

FastChat Video: Transition Preparation with SPS Family

In this FastChat Video Jennifer Bacarella, Director of Firm Development at SIGMA Financial Corporation and Parkland Securities, discusses with Wealth Management.com the Six Questions an Advisor Must Ask Before Selecting a Broker-Dealer.

Dec 08, 2020

Sponsored by SIGMA Financial Corporation

Will the transition process be easy or tough?
Which clearing firm does the broker -dealer use?
How involved should my assistant be int eh process?
What’s the broker-dealer’s compliance culture?
How is the broker-dealer’s transition team organized?
Will I be a name or a number?

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