The Advisors Guide to Changing Broker-Dealers

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 …

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 …

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 …

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 …

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 …

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, Guest Blogger and 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 …