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Published: Tuesday, January 01, 2008  

What Financial Services Professionals Look For In A Firm
By Jim Robinson
What Financial Services Professionals Look For In A Firm
Money does count. Payouts and revenue percentages does matter. Financial Services Professionals also give other concerns equally weight. Recruiters and Managers should listen close to what they are saying.
 
"I want to work for a firm that will appreciates:
  1. My business owner mentality
  2. My verbal and communication skills
  3. My work ethic
  4. My Intergrity
  5. My Honesty
  6. My client oriented outlook…not product outlook
  7. My attitude of caring and sharing
  8. My ambition
  9. Marketing and Administrative Assistance that allows us to delegate tasks
  10. My ability to focus on my practice
  11. Our need for unlimited Tech Support (Free or Subsidized)
  12. My vision for personal and career growth
  13. Web-based systems synchronized to me and my staff work
  14. Our need for Practice Management support
  15. My capacity to learn
  16. My cultural fit with the firm
  17. My diversity sensitivity
  18. My clean compliance history
  19. My clean Central Registration Depository (CRD® )
  20. My clean U4
Central Registration Depository (CRD® )
FINRA maintains the qualification, employment and disclosure histories of the more than half a million registered securities employees of member firms through the automated Web CRD® system. If you have any questions or comments, please contact the Gateway Call Center at (301) 590-6500.
TheUniform Forms U4 and U5 are used by broker-dealers to register, and terminate the registrations of, associated persons with self-regulatory organizations (SROs) and the jurisdictions. Forms BD and BDW are joint forms used by the Securities and Exchange Commission (SEC), SROs, and the jurisdictions. The forms are used, respectively, to register and to terminate the registrations of broker-dealers.

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Categories: Recruiting

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The articles published here represent the personal views of the author(s), and not necessarily the views of any securities firm, insurance company, FINRA, SEC or organization with which he or she may be affiliated. All statements made in these articles are for general information only and are not intended to provide, nor should they be relied on as, legal or investment advice.  Readers must consult with their qualified investment, tax or legal advisors before relying upon any content contained herein. Statements made in these articles may be incorrect for your state or jurisdiction. Also keep in mind that at the time when you read such statements the underlying rules, regulations and/or decisions may no longer be controlling or persuasive as a matter of investment or insurance law or interpretation.
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