We, the editors of Registered Rep. magazine, are officially opening our annual hunt for the best in the business. That’s right, we’re asking for nominations for the Outstanding Broker Awards. Now in its 26th year, the OBAs are awarded to 10 veteran financial advisors who exemplify the highest standards of professionalism. Yes, entrants are judged on their productivity (must be among the top 25 percent of their firm in gross production to be considered), but, just as important, winners will possess other qualities. We’re looking for FAs who are civic-minded (community charitable work, is one example), and FAs who are known to be mentors at their firms or advisory practices.
Of course, there are a couple of other hard-and-fast rules. We look for a minimum of three years in the industry as a producing rep/RIA; a minimum of one year with the FA’s present firm; and a clean compliance record. (In fact, please send along full names since all nominees’ U4s will be checked. If you know the person’s CRD number, include that in your submission, too.) Further, a nominee cannot be a previous OBA winner. Three references are necessary (provide phone numbers, please).
In addition, please write a short essay telling us why this person should be named an Outstanding Broker (or Advisor). Describe what makes this person so special as an advisor and as a poster boy for the industry. Please, be brief. A couple hundred words should suffice. But remember, the essay is an important part of the nomination. A description of the kind of practice the entrant has is a good start, but the editors also need examples of the FAs’ nonbusiness activities and, perhaps, an anecdote or two that illustrates the person’s character. Your participation is very important, and all applications are confidential. As usual, we are working on putting together a gala evening in New York City to present the awards to each winner.
To enter your friend, colleague or boss (or even yourself): Go to www.registeredrep.com/OBA
