by Patrick M. Kelly | Apr 22, 2013 | Financial Advisors, Financial Services Industry
The National Do Not Call Registry “was established to try to limit the serious effect that telemarketing tactics were having on consumers,” according to Adrian LaRochelle, a staff attorney for the Bureau of Securities Regulation, in a phone interview with...
by Patrick M. Kelly | Mar 25, 2013 | Compensation, Financial Advisors, Financial Recruiters
[pullquote] I think they’re at a huge advantage because they can offer one-stop shopping[/pullquote] Financial advisor recruiting trends are pointing towards continued consolidation of independent firms, and movement of big teams. One of the most significant...
by Patrick M. Kelly | Mar 21, 2013 | Financial Advisors, Financial Recruiters, Financial Services Industry
“Although the job market for all advisors is robust, the talent shortage among firms catering to extremely wealthy clients is particularly acute. That’s good news for advisors, but a problem for firms hoping to expand.”* The talent drought is causing firms to...
by Patrick M. Kelly | Jan 4, 2013 | Financial Advisors, Financial Services Industry, Technology
More mobile apps and technology developments are on the horizon for financial advisors in 2013. “Advisors’ use of technology grew exponentially in 2012, and that growth shows no signs of stopping in 2013. As tech keeps evolving, advisors are eager to use those...
by Patrick M. Kelly | Dec 12, 2012 | Financial Advisors
Since 1988 FINRA has had a registration category for “Assistant Representatives-Order Processing.” FINRA Rule 1041 defines an Assistant Representative-Order Processing as “persons associated with a member who accept unsolicited customer orders for...