Registered Financial Advisor Requirements


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Indie BD Reps Most Likely to Outsource Model Portfolios: Cerulli - ThinkAdvisor
Both BDs and asset managers need to understand the advisor's requirements and objectives if they want to identify and influence portfolio construction behaviors. As part of its research, Cerulli compared the portfolio construction process for advisors.

You're Just 5 Steps Away from Achieving Your Ideal Retirement - Kiplinger's Personal Finance
Dougan is a Registered Financial Consultant, investment advisor representative, licensed insurance agent, and holds a Series 65. He and his .... Once problems start, options become limited, and it's hard to make good choices when you're in a reactive mode.

Time in the Market: More Important than Timing the Market - MD Magazine
“OJM”) is an SEC registered investment adviser with its principal place of business in the State of Ohio. OJM and its representatives are in compliance with the current notice filing and registration requirements imposed upon registered investment.

Christopher Gething
“As a financial adviser ... NJ and is registered as an investment adviser pursuant to New Jersey (NJ) law. AWM and its investment advisory representatives are in compliance with registration requirements in the states in which AWM and its representatives.

FinCEN Proposes AML Requirements for Registered Investment Advisers
The Financial Crimes Enforcement Network (FinCEN ... 1 Anti-Money Laundering Program and Suspicious Activity Report Filing Requirements for Registered Investment Advisers, 80 Fed. Reg. 52,680 (Sept. 1, 2015). 2 See Anti-Money Laundering Programs for.

cleverDome Launches Secure Financial Services Solution at the 2017 T3 Enterprise Conference - Markets Insider
As part of cleverDome's collaboration among launch participants, TD Ameritrade Institutional contributed its expertise as an advisor technology thought-leader to help independent registered investment advisors (RIAs) better protect their firms and.

5 Questions to Help You Find the Right Financial Planner - Kiplinger's Personal Finance
He must be completely transparent about his qualifications , the services he provides, his compensation, methods of analysis and any possible conflicts of interest. ... If they are not registered with the Securities and Exchange Commission (SEC) to give.

Financial Engines Reports Third Quarter 2017 Financial Results - Business Wire (press release)
BUSINESS WIRE)--Financial Engines (NASDAQ: FNGN), America's largest independent investment advisor i , today reported financial results for its third quarter ended September 30, 2017. .... The timing and amount of stock repurchased, if any, will depend.

Technology issues test RIAs and custodians
Gather the technology leaders of competing custodians and registered ... adviser will have and use." Perhaps the greatest impact robos have had on traditional providers of advice is that they have brought the "Amazon experience" to brokerage and financial.

State Fiduciary Laws Seen Adding to Chaos, Confusion - Financial Advisor IQ
Nevada passed and signed into law its Senate Bill 383, subjecting broker-dealers and investment advisors – effective July 1 – to the Nevada Revised Statute for financial planners , NRS 628A. The law effectively imposes a statutory fiduciary duty on.

Find the Right Financial Help - Morningstar.com
Despite a Department of Labor rule that would require all advisors to be fiduciaries when consulting on retirement matters--that is, be legally bound to serve their clients' interests ahead of their own--some parts of the industry have pushed back.


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