Employment Agreements

An experienced lawyer can be a financial advisor’s greatest asset before, during and after moving to a new firm.  We can review your existing contracts and advise you regarding negotiation of your new contracts.  Some of the matters we regularly advise regarding include:

  • Employment Agreements
  • Retention Packages and Severance Agreements
  • Deferred Compensation Agreements
  • Training Agreements
  • Promissory Notes
  • Bonus Agreements
  • Employee Forgivable Loans (EFLs)
  • Team/Joint Production Agreements
  • Non-Competition Agreements
  • Non-Disclosure Agreements
  • Confidentiality Agreements
  • Partnership Agreements
  • Stock Option and Stock Share Agreements

Reviewing Your Existing Contract

As a financial advisor, registered representative, securities broker, or investment advisor, the agreement you signed with your current firm likely contains:

  • A non-competition provision or a covenant not to compete during and after your employment
  • Non-solicitation provisions covering clients and firm employees
  • Non-disclosure provisions covering confidential information, which is usually defined very broadly and includes customer or client information.

Reviewing your contract with a qualified attorney before transitioning to a new firm can save you time and avoid costly litigation.

Negotiating a New Contract

We can provide advice about and help negotiate your new contract, including such items as:

  • Compensation (front-end and back-end bonus compensation, payout grid)
  • Team or Joint Production Issues
  • Staffing and Marketing Support
  • Titles and Branding Issues
  • Transition Support
  • Broker Supervision
  • Licensing Requirements
  • Restrictive Covenants
  • Promissory Note Payback

We serve financial advisors, registered representatives, securities brokers and investment advisors nationwide in securities and employment law.

Contact Moulton, Wilson & Arney, LLP for a free initial consultation.