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The SEC sent a warning to b/d executives Monday about the recruiting bonuses they pay to advisors, saying they could encourage advisors to do things that are not in their clients’ best interests.
Going Independent: Finding the Model That Works For YouSo you’re thinking about going independent? One of the first things you need to figure out is which model to choose. The good news is today you have more options than ever. The bad news...
Clouds Are Lifting, Optimism Growing For AdvisorsThe cloud that for so long has spread doom and gloom on Wall Street appears to be lifting, with more advisors expressing confidence about their job security. According to research conducted...
Interview George Tamer, Director of Strategic Relationships at TD AMERITRADE InstitutionalDid you know that 77 percent of advisors use referrals to generate new leads? Clearly, referrals are a key tactic in generating new leads, as the data...
Regulators, consumer advocates and politicians continue to hammer out what it might mean for Series 65 investment advisors and series 7 registered reps to adhere to the fiduciary standard, under the Obama administration's June plan for financial...
