Advisors Protecting Their Greatest Asset: How to Avoid and Minimize Disclosures On Your Forms U4/U5

You’ve worked hard and made many sacrifices to build a successful advisory business. But arguably, your greatest asset is your reputation.

Any negative disclosures on your public records (BrokerCheck, the CRD, the IARD, or the IAPD) can greatly damage your reputation and affect your ability to attract new clients, change BDs and firms, and sell your advisory business. Because disclosures are so easily accessible, advisors have to place a premium upon keeping their public image pristine.

On Wednesday, October 27th, we’ve been asked by Michael Sakraida, CEO and founder of the Financial Advisor Network (FAN), a network of over 18,000 advisors, to discuss how advisors can mitigate their exposure and successfully remove meritless disclosures from their Forms U4 and U5.

Our concise and impactful webinar will focus on:

  • disclosure responsibility with the new brochure rule
  • removing “unremovable” disclosures
  • working with the “one-and-done-forever” appeal process
  • avoiding retaliatory license disclosures from your BD/firm
  • creating a proactive process to avoid/remove disclosures

This webinar has ended. To watch a recording, please click on the video below:

Michael Sakraida, Host
Mike is the founder of the Financial Advisors Network, Inc. (FAN), which has around 18,000 screened advisor members. FAN is a forum and network focused on helping financial advisors earn more money, have a healthier work/life balance, and have greater fulfillment. Mike is an in-demand business- and happiness-based speaker, writer, and coach for financial advisors. Mike invited Jason Kirkland to be a webinar presenter because of the disclosure-elimination and avoidance expertise of his company, AdvisorLaw.

Jason Kirkland, Presenter
Jason earned his position as an executive with AdvisorLaw through his extensive and relevant financial-service-industry experience in the areas of consulting, recruiting & regulatory work. His expertise includes expungement of customer disputes, terminations, criminal disclosures, tax liens, and financial disclosures through FINRA arbitration; regulatory consulting for FINRA, state or charter investigations; and advisor transition consulting–(e.g., contracts, notes, M&A, recruiting, protocol, valuation, and general strategy). AdvisorLaw has helped and protected the livelihood of more financial advisors than any other advisor advocate. AdvisorLaw does so by only representing financial professionals. Services include regulatory representation for new customer dispute or U5 allegations, BrokerCheck disclosure expungement, defense in FINRA investigations, transition plans and protection, and transactional compliance needs.

Join the webinar:
Meeting Link:
Meeting ID: 870 9481 0271
Passcode: 953437
Dial-In: +1(346) 248-7799, 870 9481 0271# (Optional)