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...
by Patrick M. Kelly | Jul 31, 2012 | Financial Advisors, Wall Street
The nation’s largest independent broker-dealer, LPL Financial set out to improve their Model Wealth Portfolio platform, already highly successful. To become more efficient, the firm added more strategists to the platform, including their own research arm, Morningstar....
by Patrick M. Kelly | Jan 13, 2012 | Financial Services Industry
I love this story; I can relate to it, and what financial recruiter, advisor, or anyone in sales wouldn’t? [pullquote]…as a financial advisor, it’s very important that you understand the “why” behind each of your goals[/pullquote] We all focus on setting and obtaining...
by Patrick M. Kelly | Jan 5, 2012 | Financial Recruiting Industry
Here’s a great article that was written in October, 2011, for OnWallStreet, by Rick Rummage, CEO and founder of The Rummage Group. (Yes, a competitor in the recruiting industry.) I never shared it on our blog site, but I think it appropriate now as many advisors gear...
by Patrick M. Kelly | Jul 27, 2011 | Economy
“Relax, and just sit out the crisis,” says Fred Dickson, chief investment strategist at D.A. Davidson, a Montana-based brokerage and money management firm. He calls it a one-in-a-100 chance that the government will not raise the debt ceiling, but if that “one” did...