Webinar Teaches Brokers To Become Independent Advisors

Brokers Learn How To Manage Compliance, Operations And Marketing At Webinar Series About Establishing An Independent Advisory Practice

NEW YORK--Brokers interested in leaving wire houses and regional brokerage firms to establish an independent advisory firm will receive ideas from experts on compliance, operations, and marketing at a free webinar on October 14 at 4 p.m. EDT.

The webinar will provide brokers guidance on challenges they must face when becoming independent financial advisors including:

Required books and records rules
The easiest ways to meet RIA compliance responsibilities
Key strategic operational decisions when starting a firm
Initial operational processes that should be established
Selecting practice management software and custodians
Communication systems for transitioning clients
Independent advisor marketing solutions to find new clients

This is the first session in the Advisors Going Independent Webinar Series, which is produced by advisorsforadvisors, a practice management website for independent financial advisors.

Advisorsforadvisors was founded by Andrew Gluck, a veteran financial reporter. Gluck, who is the host of the webinar, is also the CEO and founder of Advisor Products Inc, a client communications and marketing company serving 2,000 independent advisory firms.

Joining Gluck for the webinar are two other experts in independent advisor operations and compliance.

Blane Warrene has 18 years of experience in broker/dealer and RIA technology and operations, focusing on investment and insurance systems integration, broker/dealer operations management, process design and implementation, and strategic planning.

Chris Winn has 16 years of industry experience with a focus on regulatory compliance. As managing principal and co-founder of AdvisorAssist, he has led compliance teams in design and implementation of programs pursuant to Rule 206(4)-7 of the Investment Advisers Act of 1940, Rule 38a-1 of the Investment Company Act of 1940, and other federal securities laws.

Gluck also hosts the weekly Financial Advisor Webinar Series Fridays at 4 p.m. ET, which addresses topics in managing an independent advisory business, and many of those sessions are eligible for continuing education credit for Certified Financial Planner (CFP) professionals. Free webinar replays for all these webinars are posted to AdvisorProducts.com and Advisors4Advisors.com.

About Advisorsforadvisors
Advisorsforadvisors is dedicated to helping advisors improve their businesses through social networking and effective dissemination of information. In short, the firm helps advisors find the information they need to succeed. Founded by journalists Andrew Gluck, CEO of Advisor Products and editor-at-large of Financial Advisor magazine, Mary Rowland, a former New York Times columnist who now writes monthly for Financial Advisor Magazine, and Bob Casey, a managing director for Family Wealth Alliance, advisorsforadvisors leverages the collective knowledge of the advisory industry’s leading thinkers to provide valuable content for advisors and join like-minded professionals into a powerful online community. Subscriptions cost $60 annually.