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I will draft an employment contract for a financial advisor
Licensed US Attorney, Premium Financial, Debt and Corporate Legal Drafting
I am William Theo Allen Jr., a licensed U.S. Attorney (Bar No. #950180) specializing in financial law, debt settlement, and corporate agreements. With extensive experience drafting ironclad legal docu...
About this Gig
Hiring a financial advisor requires a highly specialized employment contract. You must protect your firm's proprietary trading strategies, client lists, and confidential financial data while clearly defining complex commission structures.
As a licensed U.S. attorney, I draft rigorous, industry-specific employment agreements for financial advisors, wealth managers, and broker-dealers.
Your custom contract will include:
- Clear base salary and commission/bonus tier structures
- Regulatory compliance expectations (FINRA/SEC guidelines)
- Strict Non-Disclosure Agreements (NDA)
- Non-Solicitation clauses (preventing client poaching)
- Non-Compete clauses (tailored to your state's laws)
- Termination for cause/without cause provisions
Protect your firms most valuable assetsyour clients and your data. Order a premium, professionally drafted employment contract today.
Field of law:
Labor (employment)
Document type:
Employment agreement
Legal consulting Gigs are not screened
Please note that there is no screening process for this service. We recommend that you message the freelancer and check all necessary details before placing your order. Pro freelancers in this category have gone through a vetting process. You can find more details here.
Other Legal Consulting Services I Offer
FAQ
Will the non-compete clause hold up in court?
I draft non-compete and non-solicitation clauses to be as enforceable as possible under your specific state's current labor laws, focusing on reasonable time and geographic scopes.
Can you draft this for a 1099 Independent Contractor instead of a W2 employee?
Yes. Please specify your hiring structure when ordering, and I will draft an Independent Contractor Agreement tailored for financial professionals.
Does this contract cover commission clawbacks?
Yes, if requested, I can include provisions detailing how commissions are clawed back in the event a client leaves or a trade is reversed.
Is this suitable for a Registered Investment Advisor (RIA) firm?
Absolutely. I tailor the compliance and regulatory language to fit RIA, broker-dealer, or private wealth management firms.
What do I need to provide you?
I need the job title, compensation details, state of employment, and any specific policies or restrictions you want enforced.
