Legal and Compliance IssuesCommented on: 4 years ago (February 22, 2012)
I agree, return the call. This may affect you as a RIA, but you can't really say without talking to them.
Legal and Compliance IssuesCommented on: 6 years ago (September 14, 2010)
For answers to this neglected question, then see -----> thesitethatshallnotbenamed
Rookies & TraineesCommented on: 6 years ago (September 14, 2010)
Don't solicite business outside of your Firm's approved venues.
RIAs, IndependentsCommented on: 6 years ago (September 14, 2010)
Gano - this is a standard industry practice. In exchange for having a custodial relationship with their clients, the adviser gets tools, research, customer service, etc. They do have a...
GeneralCommented on: 6 years ago (September 8, 2010)
That's hardcore. How often do these people come by?