Financial Advisor Placement Services is the premier Financial Advisor Placement firm, that specializes in placing only Financial Advisors. We focus on placing Experienced Financial Advisors with Independent Broker Dealers, Regional Broker Dealers, Wire-house Broker Dealers, and Registered Investment Advisors. The reason why advisors use our services is because of our industry relationships, knowledge and professional service.

Many Wall Street brokerages and independent broker dealers are undergoing tremendous change. Many broker dealers continue to cut payouts and increase account minimums, while multiple mergers are consolidating the broker dealer landscape. The failed Department of Labor has created uneasiness in the industry, and caused many broker dealers to change their compliance rules permanently. Some broker dealers have increased minimum production requirements, while the Insurance owned broker dealers are forcing proprietary sales. FINRA has increased rules and regulations. Improved technology and wealth management platforms are positioning the independent broker-dealer model for strong growth! There is a big movement for Advisors to move to the Independent, and RIA models and we specialize in helping these advisors find a new broker dealer or RIA to make this change.

Financial Advisors who want to change firms, usually don't have the time, contacts, or expertise, to have numerous discussions with many broker dealers. Your decision to find your next broker dealer is an important one. You will want your next broker dealer to fit your practice, and that's where we add value-in sorting through the maze of the firms and identifying the ones to fit your needs. We have placed thousands of advisors and have been in business 16 years, so we have the contacts and expertise to get you the best financial offer possible.

We work closely with many broker dealers, where we know the key decision makers well. We will familiarize you with these firms so that you can understand their culture, products, platforms, and introduce you to their key executives. We will act as your "consultant" to negotiate the best deal possible. We are with you every "step of the way." We work with financial advisors of all backgrounds, product mixes and production levels.

Broker Dealer or RIA?
Advisors grapple over joining a hybrid broker dealer or just making the larger step to RIA only, We work with Registered Investment Advisors where you can join their firms. You can either "plug into" an existing RIA or we also work with consultants who will help you start your own. We can consult with you on these options.

​Domestic or International Broker Dealers:

We represent broker dealers who work with both domestic as well as international clients.

Large, Mid-Sized, or Small Broker Dealers:
We represent Large, small and mid-sized Independent broker dealers. We also work with many firms that offer high payouts with low cost. We represent boutique firms that specialize in certain product sets. Clearing firms include: Pershing, National Financial, First Clearing, Schwab, Raymond James, RBC, Wedbush, Hill Top, INTL FC Stone, and Axos. We also work with regional and national firms which are self-clearing such as LPL, INTL FC Stone Inc and Janney Montgomery Scott.

Whether you are looking for an Independent Broker Dealer, Wire house Broker Dealer, Regional Broker Dealer, or RIA, we can help you find the right one and help you navigate this landscape to find the best fit possible.

​DOL's Impact On Some Broker Dealers:
We represent broker dealers who will go out of their way to support the financial advisor and to accommodate both commission and fee-based products within retirement accounts. We work with many firms who are more compatible a result of the Best Interest Contract Exemption (BICE).

OSJ Producer Groups:
We are successful at placing OSJ Producer Groups, in order to find the best packages available in a competitive environment. Confidentiality is crucial during this process.

Broker Dealer Sales & Financial Practice Sales:
We act as consultants to sell broker dealers, or advisor financial practices. We have a vast network to market private sales. We work with broker dealers who want to sell their firms or simply outsource their back office functions.

Terminated Advisors:

We represent firms who will bring on terminated advisors.

The firms that we represent pay our fee for producing financial advisors, so please contact us for a confidential conversation.

We look forward to your call!

Kind regards,

Shawn Smith, MBA, Chief Executive Officer