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Summary: It is an issue that many financial advisors will face during their careers. And it figures to significantly affect the course of their careers. When you leave a firm to start your own or join another, how much can you do to recruit the clients at your current firm to come with you?
 It is a violation of that duty to recruit clients before you leave. To avoid even the appearance of recruiting, it is best not to drop a hint or pose a hypothetical, such as saying to a client, "If I were to leave, would you come with me."Brian Carlis, Stark & Stark. |
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