by Patrick M. Kelly | Apr 25, 2013 | Broker-Dealers, Going Independent
“The independent broker-dealer space has all the elements of a high-adventure video game this year, and only the most advanced players may be up for the challenge.” Anticipating and navigating regulations is growing more daunting, while shrewder strategies are needed...
by Patrick M. Kelly | Apr 22, 2013 | Financial Advisors, Financial Services Industry
The National Do Not Call Registry “was established to try to limit the serious effect that telemarketing tactics were having on consumers,” according to Adrian LaRochelle, a staff attorney for the Bureau of Securities Regulation, in a phone interview with...
by Patrick M. Kelly | Apr 11, 2013 | FINRA
A former Financial Industry Regulatory Authority, Joseph Sciddurlo claimed in a suit filed last week that he worked as a principal examiner for FINRA in 2010 when he discovered that the regulator’s system allowed large firms to circumvent a Securities and Exchange...
by Patrick M. Kelly | Apr 9, 2013 | Financial Advisor Job Recruits, Financial Recruiters, Raymond James
Bill Willis, Founder and President of Willis Consulting, Inc, presents an insider’s look at the “home office visit” requirement for new financial advisors joining Raymond James. Making the tour himself at the headquarters in St Petersburg FL, Bill learned the...
by Patrick M. Kelly | Apr 5, 2013 | Compensation, Financial Services Industry
Dually registered financial advisors with at least $100 million in discretionary client assets under management will retain 100% of their advisory fees under a new compensation model that Raymond James Financial Services is rolling out April 1. The ongoing intense...
