Advisor Development Program Profile LC

Advisor Development Program Profile

Name*

Please enter your full name

DOB*

MM-DD-YYYY

Personal/Home Address*

Please enter your complete home address: Street (Apt #, if applicable), City, State, Zip Code

Personal Email Address*

If you are registered with LPL, please enter your LPL email address.

Personal Phone Number*

Phone

LinkedIn Address

X (Twitter) Handle

You Tube Channel

Facebook (Personal) URL

College Attended

Year Graduated

Degree Earned

Collegiate Athletic Involvement

Collegiate Club Involvement

Do you have Military Experience?

Yes

What branch?

What are your current hobbies?

Are you currently involved in any recreational sporting activities?

Yes

Please list any Clubs, of which you are a regular participant or member.

Please list any Networking Groups of which you are a member.

Current BrokerDealer*

Years with LPL*

What is your Master ID?*

How many years have you been in the business?

Number only

How do you currently conduct Advisory business?

Corporate IAR

Hybrid RIA

Unknown

N/A

What is your focus area?

Do you have a specialty or niche?

Current Employer*

Business / DBA Name

Current Job / Role*

Registered Branch Street Address

Registered Branch City

Registered Branch State

Registered Branch Zip Code

Business Phone Number

Phone

Business Email

Please enter your current work email address

Website Address / URL

Facebook (Business) URL

What is your MyRepChat #?

Phone

What CRM tool do you use?

Select or enter value

# of Staff in Office

Number only

# of Advisors in Office

Number only

Current FINRA Registrations*

Please attach your CRD showing SIE, S7 & S66 (or S65 & 63) at the end of this form.

Select

Other FINRA Registrations

Current Insurance Licenses

Select all that apply. Please attach your L&H licenses at the end of this form.

Select or enter value

Please list any designations you may have.

Are you interested in Aquisitions?

Yes

Do you have a current Business Plan?

Yes

Do you have any FINRA or SEC complaints?

Yes

Was Disciplinary or Regulatory Action taken?

Yes

Are you current with Books & Records?

Yes

Are you current with your Taxes?

Yes

Have you had a valuation of your business completed within the last 24 months?

Yes

Would you like a valuation of your business?

Yes

Do you have an existing Succession Plan?

Please attach your existing Succession Plan at the end of this form.

Yes

Do you have a Successor?

Yes

Are you interested in assistance from Advisor development to help you locate an appropriate successor?

Our process of providing successors to senior producers looking to retire involves "embedding" fully trained and registered CFP®'s in your business for a year prior to succession. This provides both parties time to get to know each other and to introduce the successor advisor to clients for a softer transition for clients. Would you be interested in this process as a means to develop a successor for your practice?

Yes

Possibly

How important is geographic proximity for your successor?

Very important

Somewhat important

Not important

How do you want to retire?

When you retire, would you prefer to sell your practice outright or remain involved as a Emeritus Advisor?

Sell practice outright

Sell and stay active as an advisor

Unknown

Do you have any Legacy Arrangements?

Are there any special or legacy arrangements or liabilities that will follow the company?

Yes

Would you consider sponsoring an early-career advisor in your office as an employee?

Through the Advisor Development Program, we work with recent college graduates. For a comprehensive, immersive experience, we can potentially connect you with someone, whom you can hire, can support you administratively during business hours, and study/train as they work through the Advisor Development Program outside of business hours. Would you be interested in hiring a recent college graduate going through the Advisor Development program?

Yes

I might be interested

What does your (future) business structure look like?

We are looking to identify advisors who are interested in exploring participating in a larger, cohesive organization that has the potential to create more equity in your practice. Would you prefer to continue to operate in a siloed business or are you interested in exploring your options?

I prefer to continue to operate as an individual firm.

I am interested in developing an organizational group of advisors.

I would like to learn more about these options, before I decide.

Would you be interested in educational events on preparing your practice for maximum value?

Yes

Current T12 GDC

Number only

Previous Year GDC

Number only

Current Total Advisory AUM

Number only

Current Total Brokerage AUM

Number only

Current Total Direct Business AUM

Number only

Current Total TAMP AUM

Number only

Current Total AUM

Number only

Previous Year Total AUM

Number only

Current # of Households

Select or enter value

Current Total # of Accounts

Select or enter value

Would you share your story?

Established advisors have great success stories that others can learn from and we’d like to hear yours. Would you be open to an interview to discuss your pathway in the business?

Yes

File Upload

Please upload copies of your CRD, Insurance Licenses, Succession Planning Documents, Practice Continuation Agreement, etc.

Drag and drop files here or

Send me a copy of my responses

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