Thomas D. Giachetti, Chair of Stark & Stark’s Securities group, co-authored the article An Overview of Internal Succession Planning for the Registered Investment Advisor for the June 2009 edition of the CharlesSchwab Institutional Compliance Review.

The article discusses the critical components a company needs to consider in order to implement a successful succession plan. Mr. Giachetti recommends advisors formulate a succession plan which focuses on protecting existing client relationships, planning for business continuity and determining what will happen when an the advisory firm founders retire. You can read the full article online here.