"The secret of change is to focus all your energy not on fighting the old, but on building the new.” - Socrates
Our Mission:
"Before 30 Days"
You're in a panic...
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You have received a sudden termination notice from your firm - you're not alone. Many long-tenured registered representatives with relatively “clean” backgrounds have been on the receiving end of such a surprise, often undocumented, notice. And, some of these advisors have found themselves faced, often day or weeks later, with regulatory reports from their former firm that contain inaccurate termination language. With prompt and effective responsive action, advisors have overcome this situation and moved forward with their careers.
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Don’t let this situation turn into barriers to employment with a new firm. It’s critical that you work quickly to develop an action strategy to effectively respond. If you want your business – and your life – to get back to any sense of “normal” again, speed and experience must be key components of your strategy.
AVOID THE FOUR MOST COMMON MISTAKES
DON'T WAIT - The time to act is now. If you are recently terminated and deciding how to get your career back on track – or if you a currently employed with compliance challenge – don’t waste time spinning your wheels. Take control of your situation. Now is the time to engage quality compliance and legal advice to help you navigate the challenges ahead. The sooner you take effective action, the better. Every day you procrastinate is potentially another day away from your clients. In our experience, every week you remain unlicensed means you could lose 10% of your assets or more. The sooner you take control of your situation, the higher the likelihood of a favorable outcome.
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DON'T GO IT ALONE - For most advisors, dealing with compliance or termination challenge is unfamiliar territory. Some advisors are tempted to "go it alone" in the hope their existing knowledge will do. Unfortunately, your road to new employment comes with pitfalls completely different than anything you may have experienced - especially given the fast-changing regulatory environment. In our experience, negotiations with your prior firm are always best managed by competent and experienced legal representation. Let Clearpoint help you build your winning team.
HIRE THE RIGHT ATTORNEY - Most advisors have learned to rely on a long-established network of contacts. You may have relationships with attorneys who you trust. However, your current situation demands advice of a legal specialist. FINRA and SEC employment law is a narrow legal specialty. From negotiation of your U5 language to clearing the hurtles of bureaucracy and arbitration process, a single misstep might derail getting your livelihood back. Ask Clearpoint for a legal referral - now, today.
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DON'T TRUST YOUR OLD "PLAN B" - In the past, you may have prior industry contacts with recruiters or branch managers that have vetted your business and perhaps made you offers of employment. Unfortunately, that was “in the past.” Your current compliance challenges or termination will greatly complicate, or may put an end to, your past discussions and prior plans. Moreover, it may take weeks or months to follow up with prior contacts – time you likely can’t afford. A recruiting firm that specializes in advisors with compliance challenges can broaden your opportunities to obtain an offer that is right for you. Cast a wide net with an experienced team to get the best results.
OUR
VALUES
Advisors are our primary concern - You, and advisors in your situation, are our primary concern. At Clearpoint, we are dedicated to providing you with the highest quality advice and professional referrals. When you work with us, you can rely on the fact that our goals are the same as yours. Our success is your ability to get your business back on track!
Every advisor has a right to due process - Every advisor has rights to regulatory, employment, and arbitration due process. When you are coping with a recent termination, it can seem as though you've lost these rights. At Clearpoint, we help conscientious advisors enforce their rights to run & protect their business.
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Discretion and Integrity are absolute. Discretion and Integrity are absolute. At Clearpoint, our team we will treat you and your business with utmost professionalism - we will protect your business with the integrity and discretion you deserve.
WHY CLEARPOINT?
Clearpoint Solutions was formed to provide comprehensive compliance resources and executive search services for advisors in the financial securities industry with compliance challenges. Our firm specializes in finding successful homes for advisors who find themselves struggling with their current or prior brokerage or advisory firm.
Using our unique process, we help advisors find talented legal representation near their location to help navigate their legal challenges. Our compliance staff will assess your situation and craft a customized risk assessment and heightened supervision plan to help the transition process. This compliance packet helps streamline the process of screening potential firms in order to help place candidates as quickly as possible.
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Our mission is to offer advisor the best advice possible in order to streamline the the transition process for our clients. We afford candidates access to top-tier firms and partner with our clients through every stage of the search process. Our broad network of firms includes a wide range of wirehouse, independent, and regional firms.
OUR 4-STEP PROCESS
call for a confidential assessment
Once we understand the scope of your compliance challenge, we will start the process of providing any legal referral you may need - qualified legal representation is job one! Once we have assured that you have a qualified attorney, we will begin the work of assessing your business needs and begin outlining a strategy for presenting you to potential brokerage and advisory firms that meet your needs.
HELP US build YOU a comprehensive plan
The first key to presenting your business to potential business partners is completing our assessment of your business needs and compliance situation. With details in hand, our compliance staff will work with you to create an independent risk assessment and supervision plan to present to any firms that are interested in considering your business. Our comprehensive compliance and supervision packet will provide the original basis for firms to consider your employment.
Explore your options
Every financial advisor has different needs that must be met in order to assure success. Similarly, every financial firm has different standards and tolerances for compliance challenges - what one firm may be unable to accommodate, another firm may have available resources to support. The key is getting you in front of the best firm we feel can help you get back up and running as quickly as possible.
get back on track!
Our ultimate goal is to get you back up and running as soon as possible. Ideally, we can find you a new brokerage or advisory firm within the first few weeks or even days. In our experience, an independent risk assessment and heightened supervision plan is the best way to get the attention of potential firms & help streamline the hiring process. Although every situation is different, our mission is the same: Get your job back "Within 30 days" whenever possible!
Meet John Robbins
Like many people, I have known good financial advisors who have lost some or all of their business due to an unexpected termination. FINRA Regulations can give financial firms an unfair advantage in employment disputes - leaving advisors with far more questions than answers at what may be the most critical point in their career.
At Clearpoint Solutions, we work with a team of experienced compliance & management personnel to provide specialized recruiting and transition resources to get you back on track as quickly as possible. Call me today for a quick consultation and find out what our compliance team can do to help your business. The time to act is now!