General en our job an "asset" to be split? <div class="node-body forum-body"><p>I have been in a high conflict divorce since 2008. &nbsp;At the time of separation, I was employed at Smith Barney, and had been for the entire duration of my marriage, as well as prior to marriage. &nbsp;Our final property separation was finalized in 2011. &nbsp;Now, I was just served with a new court Motion from my ex husband alleging that I &quot;omitted&quot; an asset during divorce, that being my &quot;book of business&quot;. &nbsp;As a W-2 employee of a corporation, it never occurred to me to list my clients as an asset. &nbsp;I don&#39;t own my own practice. This seems ridiculous.</p> </div><div class="og_rss_groups"></div><p><a href="" target="_blank">read more</a></p> General Divorce Sun, 16 Nov 2014 02:19:46 +0000 707641 at Series 6/63 FINRA Question <div class="node-body forum-body"><p>How do you ADD a state to your FINRA registration ?&nbsp; For example, I am licensed in NY but am interested in registering in Florida for 2 potential customers ?<br /> &nbsp;<br /> Thanks in advance for responses.</p> </div><div class="og_rss_groups"></div> General Wed, 01 Oct 2014 17:33:17 +0000 669161 at Commissions on Diff. Fund Classes <div class="node-body forum-body"><p>So I am a few months into the new role of FA with an independent broker/dealer.&nbsp; What is the industry norm on earning commisions on mutual funds ?&nbsp; I know that the A shares are a much higher payout up front and I know that the standard is approx 1 % on C shares payed out quarterly. But, 2 questions: HOW MUCH is the payout on C shares up front ? and When do funds start paying you (C Class) on accounts that you rolled over &quot;in kind&quot; ?<br /> &nbsp;</p> </div><div class="og_rss_groups"></div> General Wed, 03 Sep 2014 20:35:29 +0000 644681 at Offering mortgages <div class="node-body forum-body"><p>I&#39;m interested in offering mortgages to current clients who purchase or refinance. &nbsp;Is anyone familiar with lenders who may cater to financial advisors serving as a mortgage brokers when the opportunity arises?</p> </div><div class="og_rss_groups"></div> General Thu, 28 Aug 2014 16:53:46 +0000 640411 at CFP Materials <div class="node-body forum-body"><p>In taking the 66 &amp; 7 I was shocked at how so many testing companies seemed to have zero idea of what was actually being tested. I failed a number of times before signing up with Training Consultants. Using their materials I passed easily. Seems the issue is that no testing company actually has their materials independently evaluated for accuracy.<br /> &nbsp;<br /> Seems the same thing is true for the CFP. A few questions:</p> </div><div class="og_rss_groups"></div><p><a href="" target="_blank">read more</a></p> General Tue, 12 Aug 2014 21:50:14 +0000 628391 at Need Advice on CFP Education Course <div class="node-body forum-body"><p>I am looking to satisfy the CFP Education requirement through the online, Self-Paced format and am looking for some advice or experience from others who may have done it this way as well. &nbsp;I am specifically looking at the Northwestern and Boston University Programs. &nbsp;Cost is not really an issue, just more content, how much knowledge you can gain from the program, and how prepared it can get you for the CFP exam. &nbsp;Also, any insight on the Dalton Education program in general would be great (Northwestern uses Dalton and BU does not). &nbsp;Any help would be great.</p> </div><div class="og_rss_groups"></div><p><a href="" target="_blank">read more</a></p> General CFP Fri, 04 Jul 2014 18:08:03 +0000 598241 at Finance experts needed research cross-functional teams <div class="node-body forum-body"><p>Dear members,<br /> &nbsp;<br /> I am a doctoral student researching the influences of cross-disciplinary thinking on teamwork in various domains and job types. Currently I am conducting a research study using a fictive case study involving members of three distinct professions, amongst which one represents the teaching professional body. To obtain complete and reliable results and to generalize the study findings to real world practice, I must develop certain measurement tools of participants&rsquo; cognitive processes.<br /> &nbsp;</p> </div><div class="og_rss_groups"></div><p><a href="" target="_blank">read more</a></p> General Mon, 09 Jun 2014 20:51:34 +0000 579541 at Family move, may have to leave Jones <div class="node-body forum-body"><p>Here is my story in the short version, and my concerns.<br /> &nbsp;<br /> My family may need to move. &nbsp;Bottom line is we want to be closer to our families. &nbsp;With 2 kids we find that to be more important than any job. &nbsp;I started with Edward Jones in August, and have been doing well. &nbsp;I talked to the Regional Leader in the area we are going to move back to, and really the best thing he can offer me is a new target location. &nbsp;Basically I will be starting from scratch all over again. &nbsp;Here are my biggest concerns:</p> </div><div class="og_rss_groups"></div><p><a href="" target="_blank">read more</a></p> General Wed, 21 May 2014 15:42:29 +0000 564721 at If you had it to do all over again.. <div class="node-body forum-body"><p>If you had to start from the beginging, learn the business from the ground up, which route would you take and what would you&nbsp;have done&nbsp;different?<br /> &nbsp;<br /> If your thought is you would go indentpent sooner, how would you&nbsp;have gotten&nbsp;the expenrence to make that move.</p> </div><div class="og_rss_groups"></div> General Sat, 19 Apr 2014 18:46:59 +0000 540431 at Need advice re: U4 issues <div class="node-body forum-body"><p>Nine years ago I worked at a firm in a strictly administrative capacity (mostly data entry). One day they audited my email and found a few &quot;personal&quot; emails sent through my work email address. These were things like writing my sister and asking her weekend plans, absolutely nothing investment related. I was called in to the office and told I should resign for violating the no personal computer use while on company time policy and so I did.&nbsp;</p> </div><div class="og_rss_groups"></div><p><a href="" target="_blank">read more</a></p> General Sat, 01 Mar 2014 00:24:11 +0000 505211 at