WebThe Broker Protocol was established in 2004 to guide brokers and advisors on what client information and materials they can take with them when changing broker-dealers. The agreement now covers ... WebJun 13, 2024 · Given this conflict in the courts, a compelling argument against trade secret protection is that for 13 years, protocol firms permitted departing brokers to take a list of names and use it to ...
Brokerage Firm Protocol for Broker Recruiting - Broker …
WebJan 25, 2024 · Some of the brokers on the stock brokerage firms list that are strictly online and do not have physical offices for customers to visit are ZacksTrade, Tastytrade, and Firstrade. Some of the brokers on the list … WebJan 18, 2012 · Broker Protocol. In an effort to curb the litigation that occurs when financial advisors move from one broker-dealer to another, in 2004 three of the largest brokerage firms, Merrill Lynch, Citigroup, and UBS Financial Services formed the Protocol for Broker Recruiting also known as Broker Protocol. The Broker Protocol is an agreement … charter marine norfolk island
Protocol for broker recruiting changes could affect your advisor - CNBC
WebJan 18, 2012 · Broker Protocol. In an effort to curb the litigation that occurs when financial advisors move from one broker-dealer to another, in 2004 three of the largest … WebMar 26, 2024 · Broker Protocol is a touchy subject these days. Are they in? ... The following information can be taken with you upon departure from a Protocol firm: client … WebAug 17, 2024 · The first step is to review the list of Broker Protocol members to determine whether both firms are members. The purpose of this article is to examine non-protocol transitions, so let’s assume they are not. Review Legal Agreements. You must carefully review the employment agreement and any other agreements entered into between the … curry center training