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Curated news and analysis for wealth consultants and their clients from WSJ press reporters and writers
As broker-dealers are hectic preparing for the SEC’s Policy Benefit, which kicks in June 30, the firm is reminding them about the proper usage of the term “advisor” or “advisor.” Broker-dealers typically can’t use the terms “advisor” or “advisor” in their names or titles if they are not likewise registered as investment advisors, according to […]
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source https://jobsearchtips.net/wsj-wealth-advisor-rundown-stock-market-surge-cash-hungry-firms-financial-gift-providing/
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