by Patrick M. Kelly | Jan 11, 2013 | Licensing, RIA
Finance industry recruiters are often asked, from advisors considering a move to an RIA, what happens to their Series 7 license if they join an RIA firm, which requires an active Series 66 or Series 65. Can they “hold” and maintain the Series 7 in case they wish to...
by Patrick M. Kelly | Sep 10, 2012 | Hiring, Job Market
Experts say there are good reasons for Financial Advisors to do a video interview; they are Easy Cheaper than flying someone in May give the recruiter a better sense of the potential employee than a phone call Allison Linn reports below for lifeinc.today.com “It’s no...
by Patrick M. Kelly | Jul 2, 2012 | Financial Advisor Directories
Online financial advisors’ directories and rankings, including the advisor’s education background, assets under management and even disciplinary records are now easily available on the website to investors and potential clients. This is a growing trend,...
by Patrick M. Kelly | Mar 30, 2012 | Broker-Dealers, Financial Services Industry
When The Hartford announced plans last Wednesday to sell Woodbury Financial Services, the firm’s independent broker/dealer, it created 1,600 financial advisors feeling anxious and wondering if they should start looking for another broker/dealer or wait it out to see...
by Patrick M. Kelly | Mar 16, 2012 | FINRA, Technology
FINRA hopes to eliminate administrative delays in the filing by firms of continuing membership applications. When a broker-dealer has an operation, change of ownership, or control change, they are required to file a continuing membership application (the 1017 process)...
