5 Things To Know About Transferring A Brokerage Account

Posted on Apr 28, 2016

According to FINRA, “When investors transfer securities account assets between broker-dealers, the process runs smoothly for the vast majority of the thousands of accounts transferred each year. But there are times when delays occur and investors have questions. Here are 5 things you should know about the account transfer...

What You Need To Know About Financial Planners

Posted on Apr 18, 2016

“Unlike brokers or investment advisers, the financial planning profession does not have its own regulator. Instead, individuals who call themselves financial planners may be regulated in relation to other services they provide.”  Read the FINRA Article...

3 Extra Days For 2016 Tax Filing Deadline

Posted on Apr 6, 2016

We get three extra days to gather paperwork and file federal tax returns in 2016! Thanks to Washington, D.C., who will celebrate Emancipation Day on April 15, this year’s tax deadline is April 18.

How Investors Can Avoid Getting Fooled

Posted on Apr 1, 2016

“April 1st is a day to indulge in silly hoaxes and pranks. But there’s nothing funny about a fraudster carrying out a scam – and no one will yell ‘April Fools’ to make the harm melt away,” said Gerri Walsh, Senior VP of Investor Education at FINRA. “So instead of offering practical jokes, we’re marking the start of Financial Literacy Month with practical tips for becoming a smarter...