by Patrick M. Kelly | May 12, 2014 | Technology
“From losing a cell phone, having a laptop stolen to facing email scammers and hackers: Advisors face numerous threats to the security of sensitive client data.” Samantha Allen, reporting for OnWallStreet-mag posted an article on May 6 that every advisor and/or...
by Patrick M. Kelly | Apr 14, 2014 | Financial Recruiting Industry
Despite whatever recruitment deal or retention fee a financial advisor gets, it does not constitute a contract of employment, and you CAN be fired. Common “career killers” are worth reviewing from time to time. Danny Sarch, president of Leitner Sarch Consultants,...
by Patrick M. Kelly | Apr 3, 2014 | RIA, wirehouses
“Recruiting a wirehouse advisor can be well worth the effort for growth-minded RIA firms — but it’s not easy, it takes time and you should expect a lot of false starts.” That’s the message from Neal Simon, founder and chief executive of Highline...
by Patrick M. Kelly | Feb 28, 2014 | Broker-Dealers, Financial Advisors, SEC
“The agency will ‘intensify’ its focus on the role of financial advisors in 2014,” agency chairwoman Mary Jo White emphasized in a speech Friday morning, February 21 .[pullquote]The agency will ‘intensify’ its focus on the role of financial advisors in...
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...
