Protecting your Firm’s Data: Are your Cyber Warriors Battlefield Tested?

Protecting your Firm’s Data: Are your Cyber Warriors Battlefield Tested?

26.06.2019
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How to Protect your Financial Firm from Cyber Criminals

By: Kevin Sullivan, Guest Blogger and Director of Compliance
Published June 26, 2019
Every rank, from private to general in the United States Marine Corps has to pass a battle skills test annually. As financial professionals, every day your computer, your network and your employees enter the cyber battlefield against an ever-growing and more sophisticated army …

The Millennial’s Guide to Financial Adulting

5.06.2019
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#adulting

By: HighPoint Advisors, LLC
Published June 5, 2019
It happens quickly – you trade in your graduation cap for your first real job, first apartment, and perhaps your very first car. But six months after graduation day, that first student loan payment arrives, and almost instantly, you feel overwhelmed. You knew adulting would be tough, but you …

What Every Advisor Must Know About Paying for Referrals

6.03.2019
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Advisors Must Meet Regulatory Requirements in Paying for Referrals

By: Jim Hooks, Guest Blogger and CCO
Published March 6, 2019
We have talked at length about the importance of networking with other professionals to secure valuable introductions to potential new clients. Do you ever pay accountants, attorneys, or real estate agents for those business referrals? The SEC’s Office of Compliance Inspections and Examinations (OCIE) …

Year-End Planning for Advisors: Practice Clean Up

5.12.2018
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Financial advisor Year End Planning

By: Julie Galbraith, Guest Blogger and Compliance Liaison
Published December 5, 2018
As the compliance liaison for PAG, one of the main questions I get from advisors at this time of year is “Do you have a checklist of what I am supposed to be doing right now?” The end of the year, in my …

How to Be Prepared for your Branch Exam

25.09.2018
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How to Be Prepared for your Branch Exam

By: Kevin Sullivan, Guest Blogger and Director of Compliance
Published September 26, 2018
While audits are a reality for every financial advisor, it’s not necessarily the thing you look forward to most. On a recent Office Talk Call, our compliance experts Mike Robbins, Assistant Vice President of Branch Examinations for LPL, and Klaudia Maslo, LPL Registered …

What Makes a Five Star Internship Experience

29.08.2018
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Hear from PAG’s Interns of Summer 2018

By: Guest Bloggers, PAG Summer Interns
Published August 22, 2018
While we provide relevant, practical advice for independent financial advisors, much of it has been tested and approved by our own firm. We recently published a blog this year about the benefits of utilizing interns in your advisory practice. This summer, we took our own …

Knowing your Clients is the Key to Advisor Success

8.08.2018
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Why Financial Advisors should Identify and Define Clients and Target Audience

By: Julie Galbraith, Guest Blogger and Compliance Liaison
Published August 8, 2018
Sometimes keeping up with the ever-changing needs of your clients can feel like you are walking on wet sand. Understanding who your clients are, having a deep knowledge of the things that matter to them can be the difference between success and failure as a …

What can On-Site Training do for your Independent Advisory Firm?

11.07.2018
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LPL On-Site Training Is Not Just for Financial Advisors

By: Karen Hayes, Marketing Associate
Published July 11, 2018
How would additional training for your advisors, administrative, or operations professionals make a difference in your financial firm? What do you wish you just knew more about, or what would you ask if you had a team standing ready to answer all your questions?
This is exactly what our …

Advertising Compliance Do’s and Don’ts for Financial Advisors

13.06.2018
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Advertising Compliance Do’s and Don’ts for Financial Advisors

By: Julie Galbraith, Guest Blogger and Compliance Liaison
Published June 13, 2018
Every financial advisor understands the importance of compliance for any prospective advertising content, to ensure it is not misleading and meets compliance requirements. We know the process well: you have a great idea for your social media channels or a blog. You spend time carefully …

2018 OCIE National Exam Priorities: Take the SEC at Their Word

21.02.2018
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2018 OCIE National Exam Priorities

By: Kevin Sullivan, Guest Blogger and Director of Compliance
Published February 21, 2018
It always strikes me as odd how many will be quick to discredit information coming from the SEC’s Office of Compliance Inspections and Examination (OCIE). Usually, the responses range from the doubting Thomas’ to the indifferent and apathetic.
My physics professor was fond of the …

How to be Financially Prepared for Disasters like Hurricane Harvey

13.09.2017
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By: Jim Perhacs, Guest Blogger and Managing Director, with Kevin Sullivan, Guest Blogger and Director of Compliance
Published September 13, 2017
On August 25, 2017, Hurricane Harvey made landfall in the U.S. causing unbelievable devastation along the Texas coast and displacing thousands of people. My heart goes out to those families and businesses who were impacted by …

Are You One SEC Audit Away from Being Out of Business?

7.08.2017
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SEC audit

By: Kevin Sullivan, Guest Blogger and Director of Compliance
Published August 9, 2017
It seems like everyone wants to be an RIA these days. With the bureaucratic mindset and regulatory overreach at many wirehouses and broker-dealers, I get it. More and more gets piled on to the advisor. Why not break away and go it …

The Advisors Guide to Changing Broker-Dealers

12.04.2017
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changing broker-dealer

By: Jim Perhacs, Guest Blogger and Managing Director
Published April 12, 2017
Choosing to leave your broker-dealer is not an easy decision. It’s a major move that can alter the course of your business and impact your future success. Paperwork and legalities aside, there are many steps advisors can take to plan for an effective, smooth transition. …

Why Cybersecurity Matters for Financial Services Firms

29.03.2017
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Cybersecurity and Financial Services

By: Kevin Sullivan, Guest Blogger and Director of Compliance
Published March 29, 2017
You get to your office early Monday morning as geopolitical events over the weekend are rocking the markets. You have several voice messages lined up and are running through them as you log onto your computer. This message opens on your screen.

Ransomware scams are …