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Non-licensed but still advising
Dan Levin's radio show is called “Investment Talk,” but since last September, he hasn't had a license to sell investments as a broker. And he's not licensed to give investment advice as an adviser. What gives?
Reps: Get the lowdown on your firm
The tale of American Beacon Partners, a midsize broker-dealer that found itself staring at an uncertain financial future last week, is a lesson in due diligence for reps seeking a change.
Heading off hack attacks
The tale of one firm and one adviser, Mark Reed, shows in stark relief how financial advisers are on the front lines protecting their clients from cybercrime. Bruce Kelly has the story.
Be leery of ‘bondlike’ claims of investment products
With clients desperately searching for yield, advisers need to be leery of the marketing claims associated with some fixed-income products, warns Bruce Kelly.
New ideas to spice up client events and seminars
Now is the time to identify client events and seminars for the year. Many advisers have told me they have fewer administrative staff members and lower budgets than in the past and are looking for new ideas for client events and seminars.
Though barred, rogue brokers often find work
Keeping track of rogue brokers is a tricky business, particularly when they leave or are booted from the confines of the securities industry, but keep peddling financial products.
HEIDI FLAMMANG: GRIEF, LOSS INSPIRE HER BUSINESS
After Heidi Flammang became a widow at age 27, managing a $1 million insurance settlement proved just about as trying as coping with her grief.
