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What Type of Firm is Best?
To determine which firm is best for you, it is important to first gain
an understanding of the types of firms in the investment planning arena.
Choices include joining a wirehouse, becoming your own Independent
Investment Adviser firm, or affiliating with an independent broker/dealer.
Wirehouse Broker/Dealers
Wirehouse broker/dealers are the traditional stock brokerage firms. Their
focus is often determined by the priorities of the firm. They utilize a
full range of products to meet their sales quotas. In addition, wirehouse
brokers typically have little independence, as they are forced to operate
according to the firm’s policies.
Independent Investment
Advisor Firm
Registration as an independent investment adviser directly with the SEC
allows you to charge your clients for investment planning on an hourly or
fee basis. However, independent investment advisers face liabilities and
regulatory requirements. Restricted product offerings can make it
difficult to serve the financial needs of all types of clients.
Independent Broker/Dealers
Independent broker/dealers offer both commission- and fee-based products.
Most have production quotas both to qualify and to maintain an
affiliation. Training is often limited since the majority of their
advisors are experienced producers. Fortunately, Blueprint gives you an
opportunity to partner with an independent broker/dealer that:
- caters to the tax professional
- offers exclusive training and marketing support
- offers an exclusive combination of nonproprietary, commission- and
fee-based client solutions.
Seize the opportunity! Partner with Blueprint
today!
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