| 1 |
How many years have you been a broker? |
| 2 |
What firms have you worked for in the past? Why did you change firms? |
| 3 |
Is quality research important to you and your clients? Equity vs. Fixed Income; Large cap vs. Small cap coverage?
|
| 4 |
Describe the technology of your current firm
|
| 5 |
Have you ever had any compliance problems since becoming a broker? If yes, please explain.
|
| 6 |
How would you describe your style of business? Asset gatherer? Active trader? Long-term relationship builder? Product specialist?
|
| 7 |
What type of marketing support do you get now? What do you feel is necessary? |
| 8 |
What is your current compensation structure? |
| 9 |
What is your trailing 12 gross production? Last year? |
| 10 |
What are your total assets under management? |
| 11 |
What do you want to accomplish over the next 3 years? |
| 12 |
What would motivate you to consider a move? |
| 13 |
What would you change about your current situation? |
| 14 |
In what direction do you think the financial services industry is going? |
| 15 |
Tell me about your family, hobbies? |
| 16 |
What value do you feel you can add to our client? |
