Remove Article Remove Clients Remove License
article thumbnail

Weekend Reading For Financial Planners (June 10-11)

Nerd's Eye View

And given the opaque nature of many private investments, financial advisors could play an important role in helping their clients assess whether these opportunities make sense for their portfolio and broader financial plan.

article thumbnail

Announcing IAR Ethics CE Day And The State Of The (Nerd’s Eye View) Blog

Nerd's Eye View

Accordingly, in 2020 the North American Securities Administrators Association (NASAA) introduced a Model Rule for the first-ever CE obligation for Investment Adviser Representatives (IARs) to maintain their Series 65 license after initially obtaining it.

Ethics 245
Insiders

Sign Up for our Newsletter

This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.

article thumbnail

AdvisorStream Broadridge Integration: Maximizing Advantages

Midstream Marketing

Key Highlights Use AI insights to understand and meet the preferences of each prospect and client. Improve client engagement while staying fully compliant with strong and integrated tools. This great teamwork helps advisors connect with clients meaningfully. This means connecting with potential clients on several platforms.

article thumbnail

Building rapport remotely

Million Dollar Round Table (MDRT)

What does that mean for advisors working entirely or partially remote from their clients? Research and sharing Three years ago, Sofia Dumansky, MBA, LUTCF , primarily worked only with clients in Connecticut and Massachusetts. Now, because of the opportunities that Zoom provides, she has licenses and clients in 12 states.

Clients 98
article thumbnail

How To Start A Cleaning Business In 15 Simple Steps

Clever Girl Finance

Obtain a business license 7. Find (and keep) clients 13. Do I need a license to clean houses? Articles related to starting a business Start a cleaning business and become your own boss today! If you didn’t already know, there are many different kinds of cleaning you can do for many different kinds of clients.

License 98
article thumbnail

How to Determine Your Client’s Risk Capacity

BlueMind

Category: Clients Risk. Determining the risk profile is essential so that you may construct a feasible financial strategy for your client’s goals. However, it should be well understood that a client’s financial profile includes their risk tolerance and their risk capacity. Related: How to Determine Your Client’s Risk Tolerance!

article thumbnail

Top Indian Stocks Held By Vanguard Group – Portfolio Analysis

Trade Brains

The firm provides its services to equity and fixed-income investment groups, investment pooling vehicles, mutual funds, and separate account institutional clients. Zee earns money through advertising, subscription services, content licensing, theatre productions, music licensing, and movie distribution. Stock P/E (TTM) 20.74