While this blog is typically focused on issues pertinent to investment advisers and their associated persons, Regulation Best Interest also extends to “associated persons of a broker dealer”. Many clients that I represent have relationships with broker-dealers and are responsible for supervising persons who are “associated persons of a broker dealer”. I often refer toContinue reading “The Disclosure Obligation under Regulation Best Interest”
Tag Archives: hybrid adviser
Financial Professionals Should Consider their Available Employment Options, Including Going Independent
Are you a financial adviser, investment adviser, wealth manager, registered representative or similar financial professional? There are many different names for those who render investment advice. Have you ever wondered how your clients’ situations might improve by changing your employer or business partner? Have you ever considered how your own personal financial well-being might improve if youContinue reading “Financial Professionals Should Consider their Available Employment Options, Including Going Independent”