Added on April 2019 in Form an RIA
0 visitor like this article | Viewed 2956 times | 0 comment
Summary: Broker/dealers and their reps doing business in New Jersey should be required to operate under a higher standard that currently applies to investment advisors, according to a new proposed rule released yesterday by the state's Bureau of Securities. The rule would require all financial advisors registered in the state to act as fiduciaries, making New Jersey one of the first states to propose a uniform fiduciary standard for all financial services professionals.
Added on April 2019 in Form an RIA
0 visitor like this article | Viewed 3117 times | 0 comment
Summary: Brunch, hip-hop and avocado toast—many in the financial industry look at these words and see clichéd shorthand for “millennials.” Financial advisor Pamela Capalad, however, sees them as real touchpoints on which to find common ground with prospects and clients.
Added on April 2019 in Form an RIA
0 visitor like this article | Viewed 3185 times | 0 comment
Summary:Every year at this time, registered investment advisers are — or should be — thinking about some of the annual regulatory compliance requirements imposed by the Securities and Exchange Commission.
Added on March 2019 in Form an RIA
0 visitor like this article | Viewed 3036 times | 0 comment
Added on March 2019 in Form an RIA
0 visitor like this article | Viewed 3008 times | 0 comment
Summary: A few weeks ago, I was talking to a group of advisers about how to grow their practices. One of them said, "Scott, it's different for you because you have such a large staff."
