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According to the commission, Keith Springer and his firm used 'deceptive marketing' via ads and his radio show to attract investors, many of whom were retirees.
When an advisor signs a recruiting deal, the firm is making an investment in that individual, and the advisor is signifying the intent to make good on the firm’s investment. But situations change over time. Is there a way out?
NCA Financial Planners' Kevin Myeroff discusses his thought process around succession and why he ultimately chose to sell his firm to Sequoia Financial.