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Summary: Greetings! NexGen advisor with back office experience desires field opportunity. Seeking a good fit and an authentic partnership with a tenured professional who values authenticity and service above all else.
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Summary: While we near the end of a devastating year of personnel information exposures, through major data breaches and scams, the threats from a number of directions continues.
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Summary: At the 2018 MarketCounsel Summit I was asked for the most important "breakthrough" moments for our firm. As we reach the end of the year, I believe we should reflect on the most important developments in the wealth management industry as a whole, and where we're headed in the months to come.
Added on January 2019 in Form an RIA
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Summary: Fines from the two of the country’s leading financial regulatory bodies are down big. FINRA sanctions dropped from $173.8 million last year to just $64.9 million in 2018, and there were fewer fines overall. This trend was also true of the Securities and Exchange Commission, suggesting that regulators are taking a newly relaxed approach to the rules. Look behind the numbers, however, and the reality is just the opposite.
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Summary: The SEC will highlight issues including cybersecurity and cryptocurrencies when it performs examinations of broker-dealers and financial advisors in 2019, according to the regulator's recent forecast.
