List of financial advisor firms

    • [DOC File]Financial Advisors and Mutual Fund Selection

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      In addition, research indicates that investors using financial advisors have lower levels of financial knowledge, are more responsive to advertising, and rely more heavily on financial advisors for information compared to investors buying mutual funds directly from fund companies (i.e., no-load funds) (Capon et al. 1996; Alexander et al. 1998).

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    • [DOC File]DATE: 10-23-90

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      The financial advisor is familiar with this type of securitized transaction and has considerable experience with the service providers who participate in transactions of this nature. Consequently, Kidder is able to identify those firms which can handle these matters in a competent manner.

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    • [DOCX File]www.bairdfinancialadvisor.com

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      magazine and SHOOK Research. This year’s list has expanded to feature the top 500 mothers working in wealth management today, and is a ranking that measures the best practices of each advisor learned through telephone and in-person interviews, and considers such factors as their service models, investing process, revenue generated for their firms, client retention, and assets under management.

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    • [DOCX File]NOTE: Only firms which have been prequalified by the ...

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      Only firms which have been prequalified by the Office of Financial Management to provide bond counsel services for FY 2014 and FY 2015 to the Kentucky Higher Education Student Loan Corporation may submit a response to this Request for Proposals. July 16, 2014. Request for Proposals (“RFP”) to Serve as Bond Counsel to the Kentucky Higher

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    • [DOCX File]Request for Financial Advisory Statements of Qualifications

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      Selected firms will be admitted to the STO’s Municipal Advisor Pool (Pool) and may be appointed to complete special projects or to serve as a municipal advisor for bonds, notes, and other debt obligations issued by the State of California (State), State Public Works Board, other State agencies, and State conduit financing authorities.

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    • [DOCX File]Business Continuity Plan Template for - FINRA

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      May 12, 2010 · Business Continuity Plan Template for. Small Introducing Firms [Firm Name] Business Continuity Plan (BCP) Updated May 12, 2010. This optional template is provided to assist small introducing firms in fulfilling their need to create and maintain business continuity plans (BCPs) and emergency contact person lists under FINRA Rule 4370 (Business Continuity Plans and Emergency …

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    • [DOCX File]MUNICIPAL ADVISORY CLIENT WORKSHEET

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      The Municipal Advisory Client Worksheet is designed to assist municipal advisor firms to meet regulatory obligations to obtain and retain information needed to effectively service its municipal advisory clients as required under MSRB Rule G-42. The worksheet is divided into two parts:

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    • [DOC File]Agent Website Form

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      Brookstone was ranked #27 on Financial Advisor magazine’s 2013 list of Fastest-growing RIA Firms and was listed on Financial Times’ Top 300 RIA List for …

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    • [DOCX File]List of Financial Scandals in Canada

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      The “financial scandals” presented in the chart include circumstances of alleged fraud and/or mismanagement of investments by an individual or a firm (including, for example, “Ponzi” schemes), where a significant number of investors suffered large losses.

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