Charles Schwab Institutional

Backing the Independent­

“Going Independent: Legal & Regulatory Considerations—What You Need to Know” Webcast

Tuesday, June 26, 2007
1:00P.M. PT/4:00P.M. ET


Daunted by the legal and regulatory aspects of going independent? We can help you understand what they are and how best to navigate them.

Join us for a free—and confidential—online seminar designed to help financial advisors like yourself understand the legal and regulatory considerations you’ll face when going independent as an RIA (Registered Investment Advisor). You’ll hear from an industry expert, as well as an advisor who has made the transition to independence.

Topics include:

  • Key legal considerations prior to going independent, including planning and retaining legal counsel, getting prepared, and the dos and don’ts of going independent
  • How to establish a new legal entity and register your firm
  • Common questions and concerns about the legal and regulatory realities of independence
  • What you need to know about transferring your accounts
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Industry Expert:
Thomas Giachetti

Advisor:
Gerry Frigon

Your Host:
John Furey