broker-dealers

/Tag:broker-dealers

Are Broker-Dealers and Investment Advisors Prepared for Cyber-Attacks?

Last month, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) published its findings on susceptibility to cyber-attacks, having investigated 57 registered broker-dealers and 49 […]

By |April 14th, 2015|Categories: Advisors|Tags: , , |0 Comments

What Robo Investing Really Looks Like

I just finished reading an article about a debate between the Wealthfront CEO and Ric Edelman. It intrigued me enough to go to the Wealthfront […]

Update to Accredited Investor Definition Coming

The Securities and Exchange Commission recently met to discuss and hash out whether it should revise the standards that define an “accredited investor”.  Broker dealers […]

When Objective Investment Advice Isn’t

Your account is a brokerage account and not an advisory account. Our interests may not always be the same as yours. Please ask us questions […]

Investor Alert: Barron’s “Top 1,200 Financial Advisors”

Barron’s magazine has once again published one of its “top” financial advisors list. In it’s most recent list (April 28, 2014) , Barron’s proclaims that the […]

Come Selling Away, Come Selling Away with Me

Selling away occurs when a broker invests a client’s money without going through the brokerage firm that he is employed with. It is one of […]