An Advisor’s Guide to Termination: A Proactive Approach to Protecting Your Life’s Work
Diamond Consultants
NOVEMBER 29, 2022
Pre-emptively hiring an attorney to help determine how at-risk you are for termination and beginning due diligence with a trusted recruiter to understand how hirable you are will help to make the decision. Enhanced FINRA scrutiny has resulted in firms prioritizing risk management over revenue.
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