Tag archive for ‘Stockbrokers’

• Do You Need A Second Opinion?

  1 March 11 • 2 comments

  

  I’d like to welcome Steve Williams, a new blogger at Acrimoney. In this post, he raises an important, common-sense question. Why not get a second opinion on your financial affairs?

• Beach Reading without Congressional Oversight

  3 August 10 • Comments Off

  

  There’s plenty to discuss from the headlines these days. But this summer I’ve been buried with edits to my next novel, The Gods of Greenwich. And I’m staring at a few deadlines now. With this post, however, I’d like to take you back to the summer of 2007. It was a time before Bernie Madoff confessed, before AIG lost $99 billion in one year and before banker bonuses had everybody in a lather. Now two members of Congress occupy our attention, elected officials who sit in judgment even with their hands in the cookie jar (allegedly).

  Like I said. We’re going back three years to the summer of 2007. Here’s the first chapter of Top Producer, which will be out in paperback on December 28. If you stop back tomorrow or Thursday, I’ll post Chapter Two.

• Wealth Management: The Best Commercial of All Time

  3 March 10 • Comments Off

  The Perfect Husband Hands down. This is the best ad I have ever seen for financial services. Yikes. Norb Vonnegut

• Computer Disaster Story

  24 February 10 • 2 comments

  

  Mixing chocolate, coffee, and 50,000 cells of Excel generates an unfortunate outcome.

• Stockbrokers—Three Steps To Build Trust*

  19 February 10 • Comments Off

  

  Uneven regulation. Here’s what I don’t understand. For years, I worked for brokerage firms on Wall Street. I was subject to licensing and ongoing education. You could do a background check on me by going to FINRA’s website. Then, I joined a Registered Investment Adviser (“RIA”) and became a “fiduciary,” I think. I did the same job, but my licenses were no longer necessary. I disappeared on FINRA’s website, because the SEC monitors RIAs. But the SEC only provides information on companies, not individuals. It became more difficult to check me out because FINRA dropped my information two years later. What’s with that?

• Worst Case Wednesday

  20 January 10 • Comments Off

  

  Next week I’m starting an advice column for finance professionals: Worst Case Wednesday. It’s about what to do when the unthinkable happens. You’re late for a meeting—even worse, you sleep through it. The SEC shows up at your front door. Your client asks an uncomfortable question, inviting a white lie. You flunk the Series 7. [...]

© 2012 Acrimoney. All rights reserved. Norb Vonnegut's Author Site