by Patrick M. Kelly | Sep 13, 2013 | FINRA
FINRA Board to also mull other ‘important considerations for a customer deciding whether to follow the rep to the new firm. A revised plan to require that brokers’ recruitment compensation be disclosed when they switch firms will be considered at the Financial...
by Patrick M. Kelly | Sep 13, 2013 | Financial Services Industry
Southern California-based Beacon Pointe Wealth Advisors has added Santa Barbara-based Pacific Pointe to its roster, making it the fifth firm in Beacon Pointe’s growing stable, and the fourth in California. The Santa Barbara-based wealth manager said in a statement...
by Patrick M. Kelly | Sep 10, 2013 | Technology
“They long ago outlived every phone, calculator and computer of their generation and these days, you’ll still see them prominently displayed on desks of financial planners.” And…they’re unchanged in over 20 years! According to Ronald D, White, business journalist for...
by Patrick M. Kelly | Sep 5, 2013 | Merril Lynch
Bank of America has announced plans to dissolve Merrill Lynch & Co. as soon as the fourth quarter of this year, but the roughly 14,000 advisors operating in its brokerage division shouldn’t see a name change. Merrill Lynch & Co., the 99-year-old firm...
by Patrick M. Kelly | Sep 2, 2013 | Stress
[pullquote]Advisors need resiliency skills to counter the self-doubt and lack of confidence they frequently experience.[/pullquote]Current cognitive psychology research shows that self-limiting, negative and pessimistic thoughts inhibit your success because they...
