 This will certainly be a challenge for the SEC, due to the inadequate number of investment advisor examiners they currently have on staff."
David Bellaire, executive vice president and general counsel, Financial Services Institute
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Dually Registered Advisors in SEC Crosshairs
Kenneth Corbin | Financial Planning, April 2014
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Summary: Dually registered advisors can provide fee-based advisory services through the RIA wing of the practice while also offering clients a galaxy of commission-based products. Many RIAs like the option because they don't have to send clients elsewhere to purchase insurance or a variety of other products; broker-dealer reps find they can differentiate themselves by offering more fee-based services.
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