Regional Vice President of Sales The Retirement Plan Company
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Bates & Company, Inc.
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AimPoint Pension
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Loan & Distribution Specialist AimPoint Pension
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Defined Benefit Combo Cash Balance Compliance Consultant Loren D. Stark Company (LDSCO)
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Compass
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Best Interest Standard of Care for Advisors, Part 20
FredReish.com [Guidance Overview] Dec. 11, 2019 "While June 30 may seem like distant date, it will be upon us before we know. From the firm's perspective (i.e., the broker-dealer or RIA), the [Form CRS/ADV Part 3] must be developed, training must be developed and delivered, policies and procedures need to be written, supervisory systems need to be designed and put in place, and on and on. Now is the time to be working on this project regardless of whether your firm is an investment advisor, a broker-dealer or a dual registrant." |
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