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Posted by / 08-Dec-2017 08:32

Subsequently, he was unable to obtain employment with any other top or even second tier firm and was forced to accept an offer from a small local broker-dealer.And, to boot, he is responsible for repaying the yet unforgiven significant portion of the recruiting bonus he had received from his former firm in 2015.Issues surrounding bankruptcies and compromises with creditors will not disqualify an advisor from being licensed or affiliating with a firm, but they must be timely disclosed.Any civil litigation settled for more than ,000 and any civil judgment must be disclosed, as well as any types of liens and judgments or regulatory actions regarding other professional licenses (e.g., being suspended from the practice of law), also must be set forth in Section 14 of the U4.

While he eventually made full restitution for the bad check and was able to enter and complete a pre-trial intervention program, he was still required to disclose the matter to his firm.What that means is that today, firms are required to undertake much more in depth background checks and reviews on all of their advisors or suffer the consequences.Moreover, within 30 days after a new U4 is filed, the BD must “verify the accuracy and completeness of the information” provided by the financial advisor on the U4.The one thing I have learned in my 20 years of coaching these high performers is this: You have to own HOW you got to where you are right now if you ever want to GO to your Too often I have seen financial professionals (and to be honest almost all salespeople and sales organizations) try to, through sheer willpower and denial, forget what went wrong and focus on what they hope to do better. When answering the questions above you need to break them down by the following categories: Related: Want Appointments?The Core of the Referral Process Is a Story That Is Shared A ruthless introspection of those 5 above will result in pain and, more importantly, a strong foundation for capturing more of your potential top end performance.

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