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Independent-within-Smith Barney breaks away after hitting wall

Former Smith Barney peers light fuse for Swope independence

Author Brooke Southall November 18, 2009 at 6:17 AM
2 Comments
no description available
Doug Swope: There’s no independence per se [at a wirehouse]. You’re [restricted] by the [inventory of] products.

Breakaway Stories


Tim Murray

Tim Murray

November 18, 2009 — 11:45 PM

Welcome to the independent RIA world! You’ll soon see it’s best for you and, more importantly, your clients.

Tim Murray, CFP
Murray Financial, Inc.

Pat

Pat

November 21, 2009 — 2:23 AM

I used to be a Smith Barney Branch Manager. Congratulations on your successful move – I recently did same. it’s sad but SB is dead. You made the right move.


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LPL Financial
RIA-Friendly Broker-Dealer, RIA Welcoming Breakaways, Advisory Firm
Top Executive: Dan Arnold



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