Legal and Compliance IssuesCommented on: 4 years ago (January 10, 2012)
You definately need to return the call. Having a complaint on your record is not as bad as it sounds...I have seen good reps with mult "complaints".
RIAs, IndependentsCommented on: 4 years ago (December 30, 2011)
Hi. First of all, sorry about your situation. I know of a BD that may bring you on...as long as you get into a payment plan to take care of any outstanding debts. it can be done while you go...
What's Up at Firms?Commented on: 4 years ago (December 21, 2011)
Haven't heard this...interesting. Are you in a smaller office??
RIAs, IndependentsCommented on: 4 years ago (December 20, 2011)
You wouldnt happen to be in the Atlanta area, would you? I know of a rep there that was looking to hire a CFP, no existing book necessary. ThanksRaymond
What's Up at Firms?Commented on: 4 years ago (December 19, 2011)
I would say start out by looking at their broker check report on FINRA's website. Never really heard too much negative things about them.