On June 12, 2004, Miguel Garcia lost his job at Smith Barney. It brought an abrupt end to a stellar 10-year stint with the firm. The day was unusual from the very start, he recalls. Despite the market being closed for a national day of mourning in...
A good, independent lawyer can be a financial advisor's greatest partner and advocate before, during and after moving to a new firm. But most advisors take the plunge without one.