securities

/Tag:securities

The Track Record of a Financial Advisor: Is it Real? Is it Fake?

When investors select a financial advisor, one of their most frequent questions is, “What performance can I expect if I select you?” Very few financial […]

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 […]

Does the SEC’s “Revolving Door” Impact Investor Protection?

Securities law is a very specialized type of law. As a result, regulatory bodies such as the Securities and Exchange Commission (SEC) recruit securities lawyers […]

Financial Advisors Claim They Can Beat the Market

80% of investors, who use the services of financial advisors, expect to beat the performance of the market. They pay higher fees and they take […]

Use a Personal Balance Sheet to Determine Your Net Worth

When I was a senior in college, I was the teacher’s assistant for Profiles in American Enterprise.  The course brought in different CEOs to speak to […]

How Do I Choose a Stock Broker? The Seminar

This article is Part 3 of a 4 part series.  While many things have changed or evolved in the securities industry, how you obtain a stock […]