by Patrick M. Kelly | Aug 8, 2013 | Raymond James
“Quite frankly the best market that we’re not in is that Seattle market,” John Kuklenski, the divisional director of Raymond James’ north central division, said to Mason Braswell, reporting for OnWallStreet.com. “Our highest priority is to establish a presence out...
by Patrick M. Kelly | Jun 10, 2013 | Financial Recruiting Industry, Internet, Job Market, Technology
Did you know that your “digital profile” is your calling card to the new generation of recruiters? If you look competent online you might get a response to that resume that you e-mailed. Recruiters want an overall view of your accomplishments, and more than likely...
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 | Dec 12, 2012 | Financial Advisors
Since 1988 FINRA has had a registration category for “Assistant Representatives-Order Processing.” FINRA Rule 1041 defines an Assistant Representative-Order Processing as “persons associated with a member who accept unsolicited customer orders for...
by Patrick M. Kelly | Aug 24, 2012 | Financial Services Industry
Advisory competition between wirehouses is still strong, and they are still swapping teams. Merrill’s Tampa office just hired a two member veteran team from MSSB both of whom had 28+ years with Morgan Stanley. At the same time, two teams left Merrill’s; one team going...