Compass
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Regional Vice President of Sales The Retirement Plan Company
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AimPoint Pension
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Loan & Distribution Specialist AimPoint Pension
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Bates & Company, Inc.
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Defined Benefit Combo Cash Balance Compliance Consultant Loren D. Stark Company (LDSCO)
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Association of Independent Investors Comment Letter to SEC on Duties of Brokers, Dealers, and Investment Advisers (PDF)
Association of Independent Investors [Opinion] Apr. 29, 2013 "The Commission can end this ongoing debate once and for all by putting an end to what is known as dual registration, the practice in which brokers and investment advisers are cross licensed. We believe that brokerage and advisory activities should be separated and clearly defined to investors, with no overlap." |
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