The regulator alleges that the firm improperly charged advisory fees on retail accounts that had been inactive at least a year and charged excess commissions on brokerage client investments in unit investment trusts.
Wholesalers are coming up with new ways to win your business, so we thought it was time to get an update on how advisors perceive the value being provided — or not being provided — by wholesalers. As a token of our appreciation for your participation, we’ll enter your name in a drawing for a $250 American Express gift card.
Successful financial advisors know what their clients really think about them. Period. With that in mind, we talked to Karen Davis, a former television executive and current broadcast journalism teacher in Miami, about her experiences.
