At our Broker-Dealers of the Year roundtable in Chicago, we met with the winners of the 22nd annual contest to discuss the direction of the industry and their success overall. They had plenty to say, and the full discussion can be found here, but we couldn’t resist pulling them aside for a one-on-one. Here, Editor-in-Chief John Sullivan talks to David Pintaric, president of WRP Investments Inc. and Division II winner of the 2012 Broker-Dealers of the Year, about running a family firm and transitioning firms from one generation to the next.
The network of independent broker-dealers aims to help advisors and clients with 1099-related processes.
Your clients fear running out of money, and a goals-based plan alone may fall short in addressing that fear.
The manager's investment process may be sound, but could their firm's operations put your clients at risk?
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