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Successful financial advisors know what their clients really think about them. Period. With that in mind, we talked to Ken Rupert, a telecommunications engineer who also runs The Financial Black Belt Academy, a Hampstead, Md.-based startup, about...
Lou Tranquilli details his journey through the financial advisory industry, from life insurance sales agent to broker/dealer to hybrid RIA and now an independent RIA.
Independent b/ds are on the hook for their reps’ behavior, even those thousands of miles away. A new compliance consultancy wants to help firms close that gap.