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November 23, 2011 at 06:02 AM
Securities America announced earlier this month the introduction of its Practice Transition Center, designed to provide information and tools to help its registered rep advisors buy or sell an advisory practice.
Introduced at a time when the demographics of the overall advisor industry has made succession planning a key issue for many advisors, the tools include a series of videos with Securities America practice management consultants who explain the issues around practice valuation, due diligence, deal structures and how to best transition clients from one practice to another.
In addition, the site includes a podcast with Securities America advisor Max Briggs of FLC Capital Management in Palm Desert, Calif., on why and how he implemented a continuity plan for his practice.
In an interview with Securities America CEO Jim Nagengast (left) last year, before the broker-dealer began to face troubles over the sale of certain private placement investments that led to legal and regulatory sanctions and its 