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November 28, 2018 at 02:00 PM
As advisors, you do so much for your clients and your communities. In this issue, the focus of our five-part cover story — “Giving Back and Getting Back” — showcases the variety of ways advisors positively affect their towns, cities, nation and the world.
I was privileged to see one advisor receive recognition for his volunteer efforts during Commonwealth Financial’s recent national conference in Austin, Texas. Jeff Scales clearly gives his time and talents to the causes he values, and his firm proudly supports him in these endeavors.
Likewise, Lon Dolber of American Portfolios sees his business and community work as intertwined, and he strives to both set an example and act as a cheerleader for advisors seeking to do the same, as do executives at other broker-dealers.
For those seeking new ways to approach their professional and personal lives in 2019, Commonwealth Chairman Joe Deitch explains the lessons he’s brought together and presents in his recently published book, “Elevate: An Essential Guide to Life.” I summarize some of his perspectives and life lessons in this month’s Broker-Dealer Beat section.
Tech Coach contributor Dan Skiles urges advisors to get ready for next year by completing a year-end action list. It may not sound as much fun as holiday decorating or socializing, but it will keep your systems and your clients happy.
Speaking of lists, Compliance Coach Tom Giachetti goes through the Securities and Exchange Commission’s Risk Alert and highlights the most common compliance issues cited in advisor examinations in this month’s column. He also shares expert advice on steps to take to address these issues.
Other helpful advice is provided by Mark Tibergien, whose Formulas for Success column this month delves into how to get a fair price for your services. “If you are reducing your fees, you may be negotiating against yourself,” he points out.
