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The Tie That Binds

By: Ellen Michael, Director of Marketing

There are so many great things about being part of the independent broker-dealer world. We are free to offer any product or service solution that meets our due diligence, regulatory, and even our highest ethical standards. We are free to do what is right by our field constituencies and their clients. We are free to work with third party companies who also set high standards and offer innovation. And you can also say that our managers and leaders are free to bring new employees into ProEquities who offer us even greater strengths.

Yes, there is a lot for which to be thankful.

But you do need some glue.

Listen. Think. Respond.

Introduced back in 2008, these three words sound simple. But, if you dissect that statement, the ProEquities mantra and the core element of our “brand,” its implication is very meaningful. It is an attitude we hold close each and every day in order to serve you better.


How many of you have been asked by your significant other if you were listening (not hearing)? The challenge is to “get” what the other is communicating – not in YOUR terms but from their heart or mind. First base…for the rest that follows is dependent upon one “getting it” from the other person’s perspective. In many cases, it might not matter if this person or that person is right or not; that is not the point. The message is the opinion of the person trying to work with you. There are many communication styles, and there will certainly be times when the style can impact the takeaway.  So, we at ProEquities keep in mind these points so we get closer the first time to knowing what our constituencies are trying to share with us.  Being fully aware helps us be on track for what is yet to come.

One advisor explained to me that email was the bane of their existence because so much of the overall message is omitted…facial expression, body language, gestures, and tone of voice as starters.  So, if you find an email heading south, pick up the phone, or better, go visit for a face-to-face!


Most of us believe speed is of the essence when thinking through topics, requests, and issues brought forward to us from others.  In the age of social media, life certainly is at a break-neck velocity similar to that of the Road Runner.  I am not suggesting Wiley-the-Coyote catch the Road Runner, but our challenge is not just to think on our toes but to also be thoughtful on your behalf. It is easy to go down the path of familiarity, but our goal is to think outside the box with our feet in your shoes. This again is one of the beauties of being an independent broker-dealer serving advisors:  there are few cages to constrain us when it comes to client-centric solutions.


Smart. Fair. Creative. Honest. Wise. Trustworthy. Empathetic. Partner- and Client-centric. Approachable. Thoughtful.  These are all attributes I easily give us all; of course, very little is at 100%, 100% of the time.  But, as they say of people with that extra which makes all the difference, we put our hearts into our profession. And, our responses are intended to be sure you know just that.

So, while we are free to do what is best for our advisors and their clients, we have the tie that binds us in spirit, commitment, and drive. We hope to be able to demonstrate these elements to you as soon as possible.


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