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Archive for September 2013

Broker Dealer Compliance

Is your broker dealer’s compliance department working for or against you? There is no question that today’s regulatory environment has put a tremendous strain on broker dealers’ compliance departments.  Broker dealers are faced with walking a tight rope on keeping advisors and regulators satisfied.  From my experience in talking to advisors across the country, some…

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Hybrid broker dealers attracting more advisors

Hybrid Broker Dealers Gaining Steam! As the trend continues toward advisors wanting more flexibility with their broker dealers, more firms are developing hybrid platforms in order to attract and retain advisors.  Many advisors who are considering breaking away completely from a broker dealer or are interested in setting up their own RIA are being lured…

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