Steve Bailey, a registered investment rep at HB Financial Resources, the Charlotte, N.C., firm he founded, spoke with Senior Market Advisor recently on regulatory issues. Below are highlights from that conversation.
Steve Bailey, a registered investment rep at HB Financial Resources, the Charlotte, N.C., firm he founded, spoke with Senior Market Advisor recently on regulatory issues. Below are highlights from that conversation.
“Right now, we are over-complianced. I’m concerned that will hurt our ability to provide creative, custom solutions for clients at a time when they need them most. Basically, we’ll just be order-takers, not true advisors.”