Going Independent

The first step in the evaluation process is to determine if owning your own business is right for you. We have developed a book, Going Independent, to help you make an educated decision that is right for your clients, your loved ones, and yourself. The book is designed to help you objectively evaluate the pros and cons of owning your own business, and the various aspects you need to consider in evaluating this decision.

It takes a certain personality to be successful owning your own franchise and it is not right for everyone. If you do decide independence is right for you, the next step is to find the broker/dealer that best meets your needs. Choosing a broker/dealer should be considered a business marriage proposal. You can only have one broker/dealer, so make sure you pick the one that is right for you.

Request a Going Independent Kit

Basic Information

First Name:
Last Name:
Current Broker/Dealer:

Address and Contact Information

E-mail:
Daytime Phone:
Evening Phone:

May we telephone you?

Daytime
Evening
Street Address:
Street Address (cont'd):
City:
State:
ZIP Code:

Additional Information

Completed Securities Exams:

Series 6
Series 7
Series 24
Series 63
Series 65
Series 66

Insurance License?

Yes
No
Years in the securities business: 1 to 2 2 to 5 5 to 10 10+
Estimated gross production (annually) Less than $50,000 $50,000-100,000 $100,000-300,000 $300,000-500,000 $500,000-1 Milllion Over $1 Million
Estimated assets under management 0-5 Million $5-10 Million $10-20 Million $20-50 Million Over $50 Million
Tell us more about yourself, your business and what you are looking for from a broker/dealer: