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Maybe not, says FINRA — but if you’re IM’ing, using slides during the virtual meeting, or recording it, probably yes.November 25
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Investing in virtual tools is a must but planners must also seize this moment to expand practices and deepen existing relationships, writes Broadridge Financial's Michael Alexander.November 18
President, Wealth ManagementBroadridge Financial Solutions -
It’s one of the largest recruiting moves of the year in the independent broker-dealer sector.November 16
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While FINRA rules spell out what brokers generally need to determine a client's financial situtation, there can be gray areas, an expert says.November 16
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The more out-of-left-field the change, the more profound the lesson learned, our columnist has found in the corporate and individual practice realms.November 13
FounderWealth Logic
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Advisors need a complete picture of the unique defined benefits and compensation a veteran receives.November 10
COOAmerican Armed Forces Mutual Aid Association
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Clients should save political beliefs for the polling place and letters to elected representatives; don’t let them cloud your investment decisions, writes financial planner Kimberly Foss.November 7
President and founderEmpyrion Wealth Management
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The private equity-backed firm’s bottom line has been less affected by coronavirus-related low interest rates than its rivals, Moody’s says.November 4
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It's helpful to recognize that there are both policy implications and behavioral implications of elections, and that these have completely distinct market consequences.November 4
CIOValueWorks
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The daughter of a privileged family had everything, until she didn’t. Then the work began.October 30
President and founderEmpyrion Wealth Management
