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Diamond Consultants: Financial Advisor Recruiting FirmDiamond Consultants: Financial Advisor Recruiting Firm
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termination

If You Have Nothing to Fear…Then Don’t…But Always Have a Plan B Ready

If You Have Nothing to Fear…Then Don’t…But Always Have a Plan B Ready

By Mindy Diamond – The high-profile terminations of top advisors in the recent past have put fear into even the most long tenured, productive and “cleanest” FAs. While I completely sympathize with this reaction – and even understand it – I do think it is a bit overblown and unwarranted.

When Good Advisors Get Fired

When Good Advisors Get Fired

By Mindy Diamond, WealthManagement.com – With the heightened scrutiny in the financial services industry and the changing regulatory environment, more financial advisors are getting caught in the crosshairs of their firms’ hyper-vigilant compliance departments. While FINRA rules generally have not changed, there has been a significant increase in sensitivity about the need for stricter compliance oversight.

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