Updated September 16, 2024, at 4:11 PM
Even when clients know what they want, it’s still pertinent to counsel them on the bigger picture. It deepens the conversation, increases trust and confidence, and makes it hard for them to go anywhere else.
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This post on 2019 FINRA and SEC examination priorities sets to help you avoid a nightmare. One of the least favorite activities a firm goes through is a regulatory examination. Broker-dealers (BDs) …
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The future of financial services is here. It simply hasn’t been widely accepted yet. A usual laggard to innovation, financial services is drastically evolving. Looking back a year, every advisor can construct …