by Patrick M. Kelly | Feb 25, 2014 | Financial Advisors, FINRA
FINRA’s board of governors approved a rule proposal on Thursday, February 14, that would impose new limits on financial advisors’ ability to remove information about customer disputes from BrokerCheck, the regulator’s online portal where investors...
by Patrick M. Kelly | Dec 30, 2013 | Dodd Frank
By: Joe Adler, OnWallStreet.com An interesting excerpt from the December 27 article: “Bankers have almost become used to the intense growth of new rules in the five years since the financial crisis, but some see a light at the end of the tunnel as the agencies inch...
by Patrick M. Kelly | Oct 23, 2013 | Breakaway Brokers, Independents
[pullquote]Advisors now need to step up their game[/pullquote]Independents were long seen as having an easy growth path in the Bay Area market, in part because their non-corporate business model appealed to the tech entrepreneurs generating so much of the region’s...
by Patrick M. Kelly | Sep 24, 2013 | Financial Advisor Job Recruits, Financial Services Industry, Job Market
“Financial services firms have to start recruiting the half-million college students who may be interested in becoming advisors, or risk having demand for financial advice outstrip supply within 10 years, according to a recent study, Regeneration: How Gen Y Could...
by Patrick M. Kelly | Aug 29, 2013 | Clients, Life Insurance
“Financial advisors should take a second look at the potential of life insurance. These products can be a crucial piece of an advisor’s business and a means for an advisor to create deeper and long-lasting client relationships. Life insurance is known to be a “sticky”...