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Registered Rep.
May 9, 2011
Gleeson & Britton
New SEC Disclosure Rules Dismay Some Advisors; Advisor Disciplinary Histories in Welcome Packets New SEC rules that require federally-registered advisors to disclose their disciplinary histories in brochures and provide them to clients will get under way in earnest by the end of the summer. mark for My Articles similar articles
ifeminists
May 13, 2003
Tiffany Hyatt
Why I Picked Up a Gun One woman was raped and beaten by men who actually are commissioned police officers. I was that woman. mark for My Articles similar articles
Registered Rep.
December 1, 2005
Halah Touryalai
Smith Barney: New Focus On the Horizon While most Smith Barney advisor respondents were generally unimpressed by the acquisition of Legg advisors, it'll be interesting to see if Smith Barney's jettisoning of its asset management group -- and resulting new focus on retail distribution -- will rejuvenate the firm. mark for My Articles similar articles
Registered Rep.
May 1, 2006
Anne Field
Staying On Top of It While the market is reaching levels not seen in years, financial advisors have much to be wary about given the steady drumbeat of corporate scandals and complaints. mark for My Articles similar articles
Registered Rep.
December 20, 2012
Diana Britton
Are Your Clients Cheating on You? Probably You may be in denial, but chances are, your clients are cheating on you. A recent report by Cerulli Associates found that 74 percent of investors own a direct investing account, but advisors believe it's much less. mark for My Articles similar articles
On Wall Street
September 1, 2009
Helen Kearney
What Clients Want Now Clients are upset and they're voting with their feet. But instead of bemoaning your woes, you should view this as a time to prove your worth. mark for My Articles similar articles
AskMen.com
December 9, 2001
Rashmikant Patel
Trusting Your Advisor Many of us are looking back at our investments over the last couple of years, and blaming our advisors for the less than stellar performance. It all comes down to one issue: do you trust your financial advisor? mark for My Articles similar articles
The Motley Fool
October 20, 2011
Exactly Why Your Broker May Be Dangerous Be careful out there, because the broker you choose may have an agenda. mark for My Articles similar articles
Reason
January 2009
Brian Doherty
Baloney Ballistics Gun databases fail. Devoting so much record keeping to every gun sold guarantees wasted effort, since less than 1 percent of all guns sold will ever be used in a crime. mark for My Articles similar articles
The Motley Fool
June 14, 2007
Rich Duprey
Foolish Forecast: Smith & Wesson Opens Fire The gun maker is set to report its fourth-quarter and full-year 2007 financial results. Investors, here is what you can expect to see. mark for My Articles similar articles
Investment Advisor
February 2007
Thomas D. Giachetti
When Should You Register? Should an investment advisor with $30 million of "assets under management" register with the SEC? It depends on whether the advisor has "qualifying" assets under management. mark for My Articles similar articles
Financial Planning
October 1, 2008
Marion Asnes
Wanted: No Drama It's a great time to be an independent advisor because you have the freedom to devise the very best possible solutions for your clients -- and you have their trust. mark for My Articles similar articles
Investment Advisor
June 2009
Mark Tibergien
Formulas for Success: Clients Have Rights, But Also Responsibilities Advisors and their clients must alter their approach to future relationships. mark for My Articles similar articles
Registered Rep.
June 1, 2008
Hesh Reinfeld
Tough Call, Tough Client Recently, I got a call that startled me. "Mr. Reinfeld, this is Congressman Smith's office. Can you hold? The congressman would like to talk to you." mark for My Articles similar articles