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Atria Wealth Solutions Advisors to receive Retention Bonus offers from sale to LPL Financial - Speak to an experienced attorney NOW! Learn More
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Gregory Tendrich, PA Gregory Tendrich, PA

Florida Financial Advisor & Broker Transition Lawyer

We Represent Brokers and Financial Advisors who are Transitioning to New Brokerage Firms in Florida and around the country

For many professionals, transitioning from one company to another is done with ease. Relatively little interaction is required between past and future employers, perhaps save for the exchange of recommendations. For those in the securities industry, however, moving on up or out can be a real headache. If not done properly, it can even have negative implications on one’s career.

If you are thinking about uprooting the business you built, it would be in your best interests to consult with a Florida financial advisor transition lawyer regarding your move. The right lawyer can help you determine whether or not you are making the right decision and, if so, advise you on what you need to do to ensure the best possible outcome.

Florida financial advisor & broker transition lawyer Gregory Tendrich is a committed advocate for investment professionals throughout South Florida. In addition to being a trusted resource for candidates, our legal team also helps recruiters andemployers, evaluate their options and select the best possible candidate.

Financial Advisor Transition Planning

Transitioning from one firm to the next is never easy, especially if you have a U4 or U5 disclosure or customer complaint on your record. For this reason, you should carefully consider the implications of your decision (if it is your decision) to leave a firm in search of a new position. At our Florida law firm, we have a comprehensive understanding of broker transitions. With deep experience handling a wide range of different issues, we are well-equipped to provide advice and guidance to our ambitious clients. Some areas we help with include the following:

  • Identification of the most fitting position for your goals, as well as the most optimal channel (independent, traditional, hybrid, RIA, etc.);
  • Defense of broker protocol and non-competes;
  • Transition contract drafting and review;
  • Understanding of the recruiting landscape;
  • Temporary Restraining Orders (TROs);
  • Negotiation of the best possible compensation package;.
  • Negotiation of Form U5 termination language; and
  • Forgivable and non-forgivable loan workouts.

Promissory Note Negotiations

We understand how important financial considerations are to broker transitions. Our team will work diligently to protect your personal assets and financial prospects, and we will take action to put you into the very best position to provide for yourself and your family. Among other things, we will:

  • Negotiate repayment amounts of promissory note balances; and
  • Consult with you in the event a FINRA arbitration involving allegations of breached repayment responsibilities is filed.

Contact a Florida Financial Financial Advisor Transition Lawyer Today

At the office of Gregory Tendrich, P.A., our team is in the business of helping securities industry professionals protect their reputations and advance their careers and businesses. Whether you wish to transition to a better position with a different companyor sell the business that you built, our team is equipped to provide sound legal advice and guide you toward the best possible outcome. To request a fully confidential consultation, please do not hesitate to contact our legal team today.

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