Financial Broker Employment Transition

Legal Guidance from Experienced Securities Attorneys at Eccleston Law

The securities attorneys at Eccleston Law offer legal guidance for brokers and advisors who are seeking to go independent. If you are looking to become a "breakaway broker", we can help protect your interests and ensure an easy breakaway broker employment transition.

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

• 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 attorneys 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 attorneys can help you, contact Eccleston Law to schedule a one-on-one consultation today.

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Are you concerned with your current or former firm’s proprietary products?  Lack of due diligence? Inadequate training? Incomplete or misleading marketing or internal-use-only material? Customer complaints? We can help.