Do you have client relationships set up in fee-based (non-advisory) brokerage accounts? Or, are you converting from a transaction-based model to a fee-based model in a way that may involve these accounts?
If you answered yes to either question, STOP!
It is time to rethink how these accounts fit into your long-term strategy. As a result of recent and ongoing regulatory actions, the future of fee-based brokerage has become more uncertain. Using these accounts effectively now requires a combination of regulatory knowledge and strategic planning.
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