Plan Your Move New - change name

Submitted by Yue.S.Wang on November 26, 2019

[Fast Forward]
[Charles Schwab]
[Plan Your Move]

[Baker & Associates
Irving California]

[Charles Schwab]
[Chris Baker
President, Baker & Associates]

CHRIS BAKER: I’ve always wanted to have my own business, so by going independent, I created a business value, and I have an asset then that I’ve worked so hard to create, you know, for the past 27 years.

[Charles Schwab]
[Adam Schwartz
Business Development Officer, Charles Schwab Advisor Services]

ADAM SCHWARTZ:  One of the things that I noticed early on with Chris, and… a lot of advisors have this that make this move, is there’s a little bit of an entrepreneurial DNA that they just have built-in to them.

CHRIS:  I knew there were a lot of things that I had to plan for and prepare for. You know, how do we, as a small firm, do our due diligence to make sure that we’re offering good products for our clients.

ADAM:  Because, ultimately, for Chris, it was about how do we make this as easy and efficient as possible for my clients.  And so we spent a lot of time preparing to be fully ready, so when the time came that her clients could experience a very smooth transition.

CHRIS:  Every time I needed help on something, somebody was there for me.

ADAM:  This is where it matters, and we put the energy in to make sure that we take all the responsibility that we possibly can so that when the time comes she’s got every confidence in the world to focus on meeting with her clients, explaining what she’s doing, and feeling very confident that she’s making the right decision.

CHRIS:  Schwab’s referrals that they gave me to the outside resources that I needed to make the transition were all excellent, they all were very experienced, they all had gone through this before.  

ADAM:  Our transition team is really one of the biggest competitive advantages that we have as a company, and it’s individuals that basically live and die by these transitions, and they work in advisors’ offices, they’re literally there with the advisor, holding their hand through this entire process.

CHRIS:  We worked a lot of hours in the first year of that transition, but it is all paying off now.  We didn’t expect to be where we’re at this early, and we’re ready now to set new goals and objectives for our business.

[Charles Schwab]
[Own your tomorrow™]

[Make the move to independence]

[Charles Schwab]
[Important Disclosures

Meant for institutional audiences.

The information included in this video is intended to be general and is subject to change.

Independent investment advisors are not owned by, affiliated with, or supervised by Schwab.

The RIAs (Registered Investment Advisors) and their representatives use Schwab for custody, trading, and operational support.

The above-mentioned firm and its employees are not affiliated with or employees of Schwab.  The mention of these third parties should not be construed as a recommendation, endorsement of, or sponsorship by Schwab.  You must decide whether to hire any firm and the appropriateness of its services for you or your firm. Schwab does not supervise third-party firms and takes no responsibility to monitor the services they provide to you.  

The views expressed are those of the third party.  Experiences expressed are no guarantee of future performance or success and may not be representative of your experience. Schwab makes no representation about the accuracy of the information or its appropriateness for any given situation.  Past performance is not an indicator of future results.  Some of the statements have been edited.

©2014 Charles Schwab & Co., Inc. (“Schwab”).  All rights reserved.  Member SIPC ( Schwab Advisor Services™ includes the custody, trading, and support services of Schwab.

AHA (1114.7215) 10/14]

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