Tag: FINRA

How Good is a Financial Advisor Directory?

There is a proliferation of financial advisor directories on several websites. Is a Financial Advisor Directory a reliable way to select higher quality financial advisors...

A Registered Investment Advisor is Your Key to a Secure Retirement

Did you know there are two types of financial service companies? One is paid a commission to sell you investment products aka Broker/Dealer. The other...

Financial Advisor Reviews – 5 Paladin Tips

The Securities and Exchange Commission (SEC) has recently ruled financial advisors can begin using reviews on social network and third party websites to help them...

Wall Street’s ‘Increased Costs’ Deception

The Securities and Exchange Commission (SEC) recently announced that it had received very little response to its request for information on the potential financial impact...

Does FINRA Really Protect Investors from Bad Financial Advisors?

FINRA is the Financial Industry Regulatory Authority. It produces the rules that govern more than 600,000 stock brokers and financial advisors and the 5,000 broker/dealers...

The History of Wall Street – once a Market for Slaves!

In the early 1600’s Wall Street were two walls that protected Dutch residents from marauding Indians. It seems the Dutch governor (Kieft) had approved the...

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