Although most broker/dealers have policies and procedures in place to address these products, firms need to improve the suitability review and add more controls around holding periods, NASAA says.
Firms must strike a balance between appealing to a younger generation of advisors and maintaining a level of support that allows everyone on their platforms to thrive.
"We agree with the need to strengthen the enforcement program," said CFP Board CEO Kevin Keller on Tuesday, responding to a Wall Street Journal report that found thousands of CFP designation holders had customer disputes or criminal charges on...
Katie Brown and her partner have created playbooks for various aspects of the business, from business development to client experience, in order to stay on track and measure their growth.
