Succession Opportunity- Milwaukee WI

Milwaukee, Wisconsin
August 05 2019

Seeking Colleague/Successor

Cards on the table:  I am a 57 year old advisor with 34 years of experience, and have an office on the west side of Milwaukee.  At this time, I plan to retire at age 65.  I have posted this listing in an attempt to find 1 or 2 client-centered advisors who are willing to join my firm, work out of my office daily, and are willing to take on my book of business when I retire. 

Quality companies:  My broker/dealer is Royal Alliance, a national firm for independent advisors.  See the other Royal Alliance postings if you want to know why I believe Royal is a quality company, but for what it’s worth, I and my previous colleagues sold our broker/dealer to Royal back in 2015, and if I had the opportunity to do it all over, I’d so in a heartbeat.  Pershing is our clearing firm—one of the nation’s largest.

The opportunity: I’m really not looking for large producers.  In fact, I prefer newer reps with a willingness to make this their permanent career.  We will each work our own books of business, but we’ll collaborate and assist each other as needed.  If all works out the way I hope, after working together for several years, I’ll realize that your ethics and client-service mindset make me comfortable in naming you as the successor to my book of business (approximately $180,000,000, as of 8/1/19).

Requirements:  1) Clean record.  2) Willingness to work out of my office daily.  3) Series 7 and 65/66.  4) Professional/ethical attitude.

Securities and investment advisory services offered through Royal Alliance Associates, Inc. (RAA), member FINRA/SIPC. RAA is separately owned and other entities and/or marketing names, products or services referenced here are independent of RAA. 1233 N Mayfair Road Suite 211 Milwaukee, WI 53226 Phone: 414-778-1091

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