Warning on VAs to Advisors: Be Afraid. Be Very Afraid.
By Gil WeinreichGlenn Daily, insurance expert and variable annuity dissenter, says the complexity of these products guaranteed benefits is beyond most advisors ability to assess.
December 03, 2012
Technology Integration Top Advisor Concern: ScottradeIts about controlling what you can, and preparing for what you cant, says Brian Davis, director of Scottrade Advisor Services.
December 03, 2012
CE, Variable Annuity and Securities Licenses and RIAsHow I fulfilled my continuing ed requirements, and what I learned about my state VA license.
November 30, 2012
Tom Giachetti’s 10 Blunt Compliance WarningsThe federal compliance picture: What SEC examiners want. The local compliance picture: State examiners "are not your friends."
November 29, 2012
SEC, FINRA Enforcement Roundup: Fund Execs First to Face Charges of Overvaluing AssetsThree top executives of KCAP Financial Inc., a New York-based publicly traded fund being regulated as a business development company, have been charged by the SEC with overstating the funds assets during the financial crisis.a complaint against the president and owner of a Polish-born brokerage firm for targeting the Polish...
November 29, 2012
Keys to a Successful Rollup StrategyThe current economic and regulatory environment thats disproportionately affecting smaller RIA firms.
November 27, 2012
RIA Channel Grows on Back of $1B+ Firms, Cerulli Report FindsGrowth came on the heels of successful advisor recruitment into the channel, breakaway advisors creating their own independent firms and clients choosing RIAs over existing providers.
November 27, 2012
Advisors Grow Pessimistic, as Consumer Confidence Hits 4-Year HighRIAs are not as upbeat as most consumers when it comes to the economy and markets, according to the latest polls.