Solved: The 5 Critical Questions to Ask Before Going Independent
Date: Wednesday, September 10, 2014
Time: 4pm ET | 1pm PT
Produced and Sponsored by:
If you’ve been thinking of making the move, you owe it to yourself to attend this important webcast. The panel of experts will share strategies to save you time, money and headaches during the “in transition” process, and will answer these five critical questions:
- What will happen to my revenue?
- Can I hold onto my clients?
- Which steps can my employer take to keep me “captive”?
- What are my business model options for independence?
- Who can help me make the decision, and the transition?
Many advisors who made the move say the grass really is greener on the other side and they wish they would’ve made the transition sooner. What is it really like? What should you know before making the move?
Join this webcast and gain insight and tips from an attorney and hear from an advisor who made the switch and experienced the highs and lows during transition.
Make sure you get these critical questions answered so you can ensure a successful transition!
CEO and Founder
Lindsey & Lindsey Wealth Management
Prior to establishing his own firm in 2012, John C. Lindsey, CFP®, was with Edward Jones for over 15 years where his office in Simi Valley was among the top 3% volume offices in the country for Edward Jones. He served as Regional Leader for 65 Edward Jones offices in the south central coast and southern central valley region of California and was named a Limited Partner with Edward Jones in 1999. He also served as a General Partner from 2001-2006. His office was a Peter Drucker Award winner, an honor based on client service excellence scores bestowed upon the top 50 offices in all of Edward Jones (14,000 offices in all).
John founded Lindsey and Lindsey Wealth Management, Inc. in 2012 for two reasons: (1) to be able to better serve his client base with an expanded universe of investment offerings (2) to create a family business with a succession plan that would include his daughter. His website, www.TheBoldAdvisor.com, has been attracting a great deal of industry attention. John will tell his “Great Escape” story during this special ThinkAdvisor webinar.
Arthur Y. Cooper, CFP®
Cooper McManus Wealth Management
The day in November 1989, when a client stormed out of a meeting, proclaiming it had been a total waste of time, changed Arthur’s life. He had spent the past four years at a national financial services company that expected him to promote their own interests. Something clicked that day, and Arthur became committed to making things better. He ditched the scripts and corporate agenda, became a training manager and earned a “gold team financial advisor” distinction, his company’s highest honor. Determined to serve his clients even more objectively, Arthur started his own financial planning and investment advisory firm in 1999, partnering with David McManus in 2001, which became Cooper McManus.
Arthur has the unique ability to help people identify what is most important in their lives and their families’ lives and work with them to create the solutions necessary for success, whether it’s financial or personal. He continues to follow his passion for guiding and mentoring other advisors especially as they transition to independence.
Executive VP/Strategy & Practice Management
Kirk oversees the Practice Management group that offers business consultation and coaching services to financial professionals on how to improve the efficiency and profitability of their practice. He consults with financial professionals on issues related to strategic planning, leadership and business development. He also guides the firm’s Human Resources functions including employee selection and development, as well as advisor and staff training. Kirk serves as the firm’s chief strategy officer.
The youngest of four siblings, Kirk grew up in Kansas and brings both a Midwestern work ethic and a fundamental, no-nonsense approach to leading Securities America’s Practice Management staff. Proficient as a speaker and a writer, Kirk has been a featured speaker at various industry conferences and is a regular contributor to industry print and on-line publications. He co-hosts a bi-weekly practice management podcast on advisorpod.com. He earned a Master of Science in industrial/ organizational psychology from the University of Nebraska at Omaha and graduated with honors from Washburn University.
Kirk has been an adjunct instructor for the University of Nebraska at Omaha College of Business. He holds Series 7 and 24 securities industry licenses.
Lawrence Kamin Saunders & Uhlenhop
Charlie joined Lawrence Kamin in 1986 and has since built an impressive litigation practice, representing broker-dealers, investment advisors and other financial services professionals in lawsuits and regulatory matters, these and other business clients in hiring and contract disputes, and consumer product manufacturers in products liability actions.
Charlie has achieved consistent success defending financial services businesses and professionals in arbitrations, class actions, and administrative proceedings involving allegations of fraud, and/or violations of the securities or commodities laws. A significant part of Charlie’s practice consists of counseling clients on managing risk related to supervisory and compliance issues and individuals on their contractual obligations, particularly with respect to restrictive covenants, and under state laws relating to the protection of trade secrets and proprietary information. When litigation cannot be avoided, Charlie recognizes that settlements often provide more efficient resolutions of cases for clients and is an avid proponent of mediation as a tool for obtaining favorable outcomes in appropriate cases.
When not in the office, Charlie enjoys spending time with his family and pursuing a variety of outdoor activities, including golf, fishing, and hunting.
Group Editorial Director
Investment Advisory Group
Jamie Green is Group Editorial Director of the Investment Advisory Group at Summit Business Media, with overall editorial responsibility for ThinkAdvisor.com, launched in October 2010, and Investment Advisor and Research magazines, monthly print magazines which have served advisors of all kinds for more than 30 years. He can be reached at email@example.com.
He has nearly 30 years experience in print and electronic journalism, with nearly 14 years covering the investment advisory industry. In the 1980s he was editor of Tele/Scope, a pioneering electronic news service based in New York that covered telecommunications business and research, and was editor of Telecommunications Research, a monthly journal. In the 1990s he worked for nine years at The New York Times, where he was editor of TimesFax, an electronic version of the newspaper of record now known as TimesDigest. While at The Times, he led the editorial team that expanded distribution of TimesFax to remote corners of every continent on Earth, to every ship in the U.S. Navy, to scores of cruise ships, and to the international space station.