Investment Advisor

Brokers Say Moving to RIA Was Positive 

A new report from TD Ameritrade Institutional, which gathered data from current and former brokerage reps, illustrates a generally positive attitude toward the RIA channel and signals a continuation of the migration trend.The findings from the 2019 Benchmarking and Independence report showed that 44% of brokers surveyed said the likelihood of them leaving the brokerage channel is greater now than it was a year ago, and 46% said the likelihood of them leaving is greater than it was at the end of 2018.

Sallah Astarita & Cox, LLC is a national securities law firm, and assists brokers in transitioning between broker-dealers and to RIAs. Call Mark Astarita at 212-509-6544 with an questions.

Source: Former brokers say breaking away to be RIA went better than they feared

Securities Attorney at Sallah Astarita & Cox | 212-509-6544 | | Website | + posts

Mark Astarita is a nationally recognized securities attorney, who represents investors, financial professionals and firms in securities litigation, arbitration and regulatory matters, including SEC and FINRA investigations and enforcement proceedings.

He is a partner in the national securities law firm Sallah Astarita & Cox, LLC, and the founder of The Securities Law Home Page -, which was one of the first legal topic sites on the Internet. It went online in 1995 and is updated daily with news, commentary and securities law related links.

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