- Who owns the client: The advisor or the broker-dealer?
- When was the last time the broker-dealer changed the FA compensation plan?
- How many practices did the broker-dealer bring in over the past year?
- How successful have prior FAs been in bringing over 70% of their assets to the new broker-dealer?
- How long has the current CEO been in their position?
- What was the most recent enhancement the broker-dealer made to improve the FA platform?
- Has there been a recent platform improvement for clients?
- Does the broker-dealer brand/promote the FA or broker-dealer?
- Will the broker-dealer show you a live tech demo (not screenshots)?
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