|
 |
Client Suitability You are looking at this screen thinking big deal, right? Well guess what... it is a big deal. With the SEC breathing more and more down your backs, you need to make sure your client's investments are suitable, not just at the time you open the account, but during the management of and yes, even after the account is closed.
Ever hear of heirs suing brokers for losses their deceased parents realized? Peter updates this page every time he conducts his 6 month Client review. How many accounts do you have that this most important information has not been updated since you opened the account... how many years ago? Distinction Number Four - we view staying out of trouble as important as proper allocation and assets under management. If used, Brokers*ACT can reduce your chances of not properly "Knowing Your Client"!
View Full Screen - Three Layouts to Choose From