Tag: broker/dealers

The Evolution of the Financial Fiduciary

There is a lot of discussion about who is a fiduciary and who should be a fiduciary. At the core of the discussion is protecting...

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...

What are my Costs when Financial Advisors Buy & Sell Securities?

There are a lot of reasons for buying and selling financial securities, which is why so many investors prefer active management by financial advisors for...

Financial Advisor Quality Ratings Are Here!

You have been able to view the ratings of restaurants, hotels, vacation destinations, and mutual funds for decades. The source of the rating gathers the...

Are Job-Hopping Financial Advisors Dangerous?

Let’s assume you are the owner of a company and you are interviewing candidates for a new position. You just interviewed an excellent candidate, but...

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