Financial Broker Employment Transition

Legal Guidance from Experienced Securities Lawyers at Eccleston Law

The securities lawyers at Eccleston Law offer legal guidance for financial brokers and advisors who are seeking to become independent broker-dealers. If you are an independent broker-dealer or are looking to become a "breakaway broker", we can help protect your assets and ensure an easy breakaway broker employment transition.

At Eccleston Law, our experienced securities lawyers have provided financial legal advice and guidance for many large and small financial advisors and independent broker-dealers. The financial broker employment transition services the securities lawyers at Eccleston Law services include but are not limited to:

  • Financial broker employment transition compliance services
  • Registration of business entities
  • Strategic consulting and legal guidance
  • Negotiation of terms of the employment transition and forgivable loan agreements for new financial advisory firm
  • Defend financial advisors' interest and reputation

In addition to the legal services for financial advisors and broker-dealers listed above, our securities lawyers provide a variety of other financial broker legal services that minimize the risk of transitioning and also helps initiate a start-up business entity. If you are interested in learning more about how our experienced securities lawyers can help you, contact Eccleston Law to schedule a one-on-one consultation today.