Advisor Development Program Profile
LC

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 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

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?

# 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.

Current Insurance Licenses

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

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

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

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

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

Current Total # of Accounts

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.

Drop your files here

Send me a copy of my responses

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Advisor Development Program Profile LC

Advisor Development Program Profile
LC