by Patrick M. Kelly | May 6, 2013 | Brokers, Financial Services Industry, FINRA
FINRA’s proposal to require financial advisors to include a link to BrokerCheck on their Web sites and social media pages has been withdrawn—at least temporarily. BrokerCheck is an online tool investors can use to research the backgrounds of current and former...
by Patrick M. Kelly | Jul 16, 2012 | Breakaway Brokers, Broker-Dealers, Brokers
Financial Advisor Magazine’s July 2012 issue has the latest rankings and survey of the RIA firm arena. Reported by Eric Rasmussen, several trends are emerging in this year’s survey. Breakaway brokers have continued to enter the RIA space even more rapidly following...
by Patrick M. Kelly | May 2, 2011 | Brokers, Financial Recruiting Industry, Financial Services Industry, Wall Street
Last week’s surprise announcement by Ameriprise Financial that they would find a buyer for Securities America sent their 1,800 financial advisors and industry recruiters buzzing about where to find new positions at other firms. Since the announcement was just made...