Tag: broker-dealer

What to Look for When Researching a Financial Advisor

Just as you would do before hiring a heart surgeon or anyone who provides a critical service, conducting proper due diligence is a must before...

7 Things to Check When Choosing a Financial Advisor

Most people, rightly, put lots of trust in their financial advisor. Unfortunately, there are some unscrupulous advisors out there who exaggerate their credentials or, worse,...

Deferred Compensation May be Protected by ERISA

Brokers should be aware of the implications of a recent court decision and take note that they may be entitled to the money in their...

Post-JP Morgan – Still Believe a Universal Fiduciary Standard Not Needed?

A recent study provided a list of various things that one could buy with the $33 billion dollars in fines that have been assessed against...

Show me the money!

This is the final installment of a six part series on choosing a 401k plan advisor. What fees and expenses will my plan be subject to, and...

Investor Bill of Rights 2 and 3

Our last post described the “Investor Bill of Rights” created by the North American Securities Administrators Association (NASAA).  We recently posted the first “Right”.  ...

Currently seeking a top quality financial advisor

Our FREE match service finds the best advisors for you. Start your search today.