SEC Custody Rules Include Surprise Exams
By Melanie WaddellAdvisors who custody assets will also get outside audits
December 16, 2009
Commonwealth: 'Record 2009 Recruiting;' New FA-Revenue Tops $60 MillionCommonwealth's average revenue per new, or recruited, advisor increased 40 percent year-over-year, reaching $350,000 in gross dealer concessions (GDC), or sales commissions.
December 15, 2009
Time for a Transition (IV): Using Special Events to Boost BusinessTom McCarthy, affiliated with Commonwealth Financial, uses LifeBio system to build rapport with current clients and special guests - a great "next generation" strategy for smart advisors nationwide.
December 14, 2009
How I Keep My Financial Plans DynamicI consider a significant part of my value offering to clients to be the unique financial planning analysis I provide. Moreover, the specific tool I...
December 11, 2009
Financial Reform Bill Approved: House Vote Is 223-202FINRA will not have oversight of advisors associated with B/Ds, for now.
December 11, 2009
The Process of EliminationAfter thinking more about the two reregulation bills working their way through Congress, it occurs to me that there is a faint silver lining on...
December 07, 2009
The Week From Tech HellI'm a firm believer that everything happens for a reason. I have also learned that being an independent advisor can sometimes be as challenging as...
December 01, 2009
LPL Holdings Lawsuit: No Change in Pac Life Access, CU StaffLPL said it bought the three companies from Pacific Life in 2007 for nearly $100 million.