Nicklas Financial | Every Move Matters

Questions & Answers

Find an answer to a question below, or submit your own.

Triangle Our Answers: Producer Services


Q: What payout can I receive and what are the associated costs?

Answer from John:

Nicklas Financial’s rewarding compensation system allows you to choose a payout based on your business model. Your selected payout applies across the board to all sales, brokerage commissions, trails and advisory fees. Only individuals or groups engaged full time in financial services are eligible to become licensed with Nicklas Financial and Securities America. Give us a call and let us help you choose the payout that’s right for you.


Q: Who is your broker/dealer and who do you clear through?

Answer from John:

LPL Financial is one of the nation’s leading financial services companies and a publicly traded company under ticker symbol LPLA. The firm’s mission is rooted in the belief that objective financial guidance is a fundamental need for everyone. LPL does not offer proprietary investment products or engage in investment banking activities; this means advisors affiliated with LPL are not pressured or influenced by LPL to sell its products. Thousands of financial advisors nationwide are able to rely on the firm’s tools and resources to help them provide financial guidance and recommendations to help meet their clients’ needs. For more information about LPL Financial, visit www.lpl.com.


Q: Why would I join a branch?

Answer from John:

There are many advantages to joining a branch:

  • Outsourced compliance protects your practice and lessens your burden
  • Coaching, mentoring and local support helps you reach your business goals
  • Working with planning and product experts grows your knowledge base and creates camaraderie
  • Training provided for you and your staff enhances skill sets.
  • Ability to market under an established branch brand or receive support in building your own brand gives you choices to fit your individual needs and goals.
  • Established branches provide built-in succession and contingency planning and support for basic operational issues and problem resolution.
  • As a liaison between advisors and the broker-dealer, branch managers offer products and programs available from the broker-dealer, eliminating research time for you.
  • You get the best of both worlds—the ability to enjoy independence while still receiving support.


Q: How can you help me grow my practice?

Answer from John:

Through our relationship with Securities America, you will have access to a multitude of resources to assist you with your business. Just a few examples include:

  • Custom programs like HR Advantage to help with HR needs
  • Practice acquisition, continuity and succession planning services
  • Branch expansion support for firms looking to add advisors
  • Coaching programs designed to help grow or improve your business
  • Coaching programs designed to strengthen your support staff
  • And much more


Q: How can you help me with Continuity and Succession Planning?

Answer from John:

Financial advisors are dedicated to helping clients plan their financial futures, but sometimes need help putting plans in place to ensure the smooth transitions of their own practices. As a Nicklas partner, you’ll have access to the Practice Transition Center by Securities America—a first-of-its-kind library of videos and tools that help advisors understand and implement the process of buying or selling a practice.

 

Securities America Continuity-Succession-Acquisition