Independents and Independence

 

Today's financial advisor is seeking independence like never before. However, there are many questions you need to ask yourself before striking out on your own. Do you want to operate completely independently, and do you have the resources to do it? If you do need support, how much do you need? There are no "one-size-fits-all" answers, and as an experienced, qualified individual, you've earned the right to find your place at a firm that values you and gives you the freedom to run your business your way.

For over 125 years, Moors & Cabot has differentiated itself as a firm that provides advisors who desire freedom and respect an environment built on trust to operate and grow, while maintaining an entrepreneurial and family firm culture. 

 

Support Tailored to Your Needs

 

Moors & Cabot is your service provider of core, enhanced, and differentiated services to drive your wealth management practice. Our significant investments in the past several years have been focused on a technology platform which embraces and encourages mobility—underpinned by management, security, and controls that allow you to choose and use only the tools you need, from anywhere at anytime.

The combination of this technology with concierge back-office support is what truly makes Moors & Cabot the perfect platform to support your business. You can utilize the capabilities below à la carte or affiliate using one of the defined affiliation options below.

 

RIA, Independent, Hybrid, Full Service, Work-from-Home? We have a model to support you now...

and evolve as your needs change.

 

One size does not fit all. Many advisors want more independence but still want support. What is true today may not be true tomorrow. We have advisors that span the spectrum of 1099 independents, affiliated RIAs, hybrids, and full service W2 employees. We have advisors who work solely from an M&C office and others who work remotely. Our affiliated options provide our defined tiers of service, each with different levels of support, each with different payout ranges and qualifications.

While we are not the only firm to support affiliation options, we are one of few who allow transfer between the options with ease. As your needs change, we change right along with you. 

 

Explore our affiliated options below and download our "Your Business, Your Way" Affiliated Options Guide. If a custom tier is what you need, we are happy to discuss options to customize any package.

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Full Independent

 

You feel comfortable with technology, and you are equipped to manage your office as well as your business. Moors & Cabot Independents can state these things with confidence. By choosing to become Independent, you are choosing complete freedom to run your business your way. We will simply give you the tools to do it.


WHAT DOES IT INCLUDE?

  • Access to trade and account
    management platform

  • A Compliance team

  • An experienced Operations team

  • Company email and calendar

MINIMUM QUALIFICATIONS
Ideal candidates for the Independent
option should have five years of experience
and production of $300,000 or higher in
fee and commission revenues.

PAYOUT
Moors & Cabot Independents receive 80-90%

payout on commission- and fee-based revenues.
Your specific percentage is based on your total

prior months’ trailing-12 production.

1099

© 2019 by Moors & Cabot

Moors & Cabot Inc., member New York Stock Exchange, SIPC, FINRA

One Federal St., 19th Floor, Boston, MA 02110

info@moorscabot.com  |   +1.800.426.0501

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SIPC protects securities customers of its members up to $500,000 (including $250,000 for claims for cash). Explanatory brochure available upon request or at www.sipc.org.