$40MM AUM | $300,000 GDC in Burbank, CA

Market
Advisor/RIA
Member Level
Basic
Last Activity
6 months or more
General
Location
Burbank, CA, US
Profile Type
Buyer
Fee 0% Commission 100%
AUM
$40,000,000.00
Gross Revenue
$300,000.00
# of Accounts
100
Avg Client Age
60
Overview

Plan B Securities, Inc. is a very unique limited B/D. We are looking for FINRA business from someone who is selling their book of business because of transition to an RIA firm, lack of production or retiring. We offer an ongoing period certain payout of the assets transferred and maintained. This provides for a potentially greater payout and an income stream.
Looking for mutual funds from companies such as American Funds, Transamerica Funds and VA business from Brighthouse (MetLife), Genworth, Sun Life, Transamerica Life.

Most recent scenario was an active planner looking to transition into RIA (Series 65) business and having to leave behind FINRA (Series 7). Plan B Investments, Inc. signed a non-compete for the RIA business.

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