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Christopher O'Leary

Christopher’s Recent activity

Getting Help On Compliance
Oct 01, 2007
Last year, Robert Isbitts, who runs Weston, Fla.-based RIA Emerald Asset Advisors, decided he had to take drastic action. Legal and regulatory compliance issues were spreading his employees thin. Everyone at the firm...
The Cost-Basis Headache
Mar 01, 2007
Steve Burnett, the president of Sacramento, Calif.-based Hanson McClain, once went to a client's house to get some information about the stocks he held. Burnett soon discovered a most peculiar form of record keeping...
Meet the New Davids
Mar 01, 2007
For several years, Regal Securities, a Glenview, Ill.-based brokerage firm, handled its clearing in-house. But, then the firm handed off the job of settling trades and other back-office functions to Fiserv. At first...
Saving the Entrepreneur From Himself
Dec 01, 2006
Christine Moriarty, a certified financial planner based in Bristol, Vt., recalls one client, a computer business owner, who had been trying to live on a tight budget without any form of long-term planning. He was...
Home, Sweet Piggy Bank?
Oct 01, 2006
Disabuse your client of the notion that residential real estate is a good retirement strategy - or even a good investment
Healthy Returns
Jul 01, 2006
“I think it's a mistake — health care expenses take up a huge part of someone's cash flow. It could be a real niche for planners.”
It's Not Just About the Trade
Mar 01, 2006
The custody and clearing industry is shrinking. For registered investment advisors and reps alike, that's a good thing.
A Crusade Against Indies?
Nov 01, 2005
In September, Dale Brown, the chief executive of the Financial Services Institute (FSI), a lobbying group representing 106 member firms with more than 124,000 independent-contractor broker/dealers, hosted an industry...
Going All the Way
Nov 01, 2005
Across the country, registered rep employees of national broker/dealers daydream of chucking it all the scripted days, the morning squawk box and going off on their own. But how far do you go? You can become an...
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