Broker Check

Broker Protocol

On July 28th, 2008, First Financial Equity (FFEC) Corporation joined Broker Protocol as the 70th member. Today, Broker Protocol has over 1,400 signators. Since its inception, Broker Protocol has given a road map to Advisors leaving member firms and joining member firms. It is important to know that not all firms are members of Broker Protocol. Firms that do not participate in Broker Protocol usually have no-solicitation clauses and a very different approach needs to occur when leaving these firms.

FFEC does not give legal or tax advice. An experienced securities attorney should be consulted by an Advisor contemplating a move from one firm to another. 

A Guide to Securities Arbitration