When Firms Can't Access Their Financial Advisers' Tech Tools

By Emily Gordy, David Reidy and Cheryl Haas (July 2, 2019, 1:42 PM EDT) -- These appear to be booming times for the independent broker-dealer world. Seemingly continual press coverage touts more and more financial advisers moving to the independent space.

A number of factors have been suggested as fueling the movement, including entrepreneurship and more flexibility to serve clients and structure one's business operations. Independent financial advisers often have more flexibility in terms of the tools they use to manage their business, especially with technology.

They may use their own hardware and applications to manage their business. This presents unique challenges and risks to the firms with which they are associated. Specifically, software applications known...

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