Citywire RIA - Powering Independence Podcast: Recent Episodes
Citywire
Who would have ever thought that the topic of legal and compliance would require two episodes, but it does! Part #2 continues the discussion covering how a firm handles FINRA and the SEC when sorting through the confusion that exists when trying to satisfy both standards and how to maintain a high standard of regulatory diligence within independent wealth management firms. For this episode, we welcome back our stellar panel: Sharron Ash, Chief Litigation Counsel at Hamburger Law Firm, Leigh Emery, Chief Compliance Officer at Dynasty Financial Partners, Michael Henley, Founder and CEO of Brandywine Oak Private Wealth and Alison Brooks, Co-Founder and COO of Brandywine Oak Private Wealth.
One would never think about putting the words Legal, Compliance and Freedom in the same sentence. Many advisors, in the past, have considered the compliance departments in their old firm the anti-business unit, but that’s because many of those policies and procedures catered to the lowest common denominator of advisors. This unfairly restricted the best advisors and made it difficult to serve their clients. They knew there was a better way, so many sought the freedom that owning their own firm offered, but having that freedom also means having the responsibility to establish and run their new firm in a compliant manner. This episode explores this topic with our panel of experts, Sharron Ash, Chief Litigation Counsel at Hamburger Law Firm, Leigh Emery, Chief Compliance Officer Dynasty Financial Partners, Michael Henley, Founder and CEO of Brandywine Oak Private Wealth and Alison Brooks, Co-Founder and COO of Brandywine Oak Private Wealth.
Who will lead your firm’s future? If the answer is uncertain, then the enterprise value of your company will definitely be affected and it could even lead to clients leaving your firm. Your hosts, Gordon Ross and Ed Friedman, are joined by a panel of industry leaders to discuss how to best address these issues and attract more qualified young professionals into the industry. On the panel are David Root, CEO of DB Root & Company, and Anand Sekhar, VP of Practice Management & Consulting at Fidelity Clearing & Custody Solutions. Fidelity Clearing & Custody Solutions® provides clearing, custody or other brokerage services through National Financial Services LLC or Fidelity Brokerage Services LLC. Members NYSE, SIPC. Fidelity is not affiliated with Dynasty Financial Partners.