Tags » Broker-Dealer

Independent Broker Dealer List Part – III

Shawn K. Smith is the Principal of Financial Advisor Placement Services and  founded it in 2009.  Shawn has 23 years of investment industry experience and has worked directly with Financial Advisors during this time.  462 more words

Broker Dealers

Advisors Changing Broker Dealers Part –III

Shawn K. Smith is the Principal of Financial Advisor Placement Services and  founded it in 2009.  Shawn has 23 years of investment industry experience and has worked directly with Financial Advisors during this time.  628 more words

Broker Dealers

Independent Broker Dealers No Minimum Production Part - I

Financial Advisor Placement Services is the premier financial advisor placement firm, that specializes in representing only financial advisors.  There is no cost to the Advisor! 775 more words

Broker Dealers

At North American Funds In Boston

Shawn K. Smith is the Principal of Financial Advisor Placement Services and  founded it in 2009.  Shawn has 23 years of investment industry experience and has worked directly with Financial Advisors during this time.  504 more words

Broker Dealers

Independent Broker Dealers No Minimum Productions

Shawn K. Smith is the Principal of Financial Advisor Placement Services and  founded it in 2009.  Shawn has 23 years of investment industry experience and has worked directly with Financial Advisors during this time.  473 more words

Broker Dealers

Independent Broker Definition Part - 1

We work closely with many broker dealers, where we know the key decision makers well.  We will familiarize you with these firms so that you can understand their culture, products, platforms, and introduce you to their key executives.  538 more words

Broker Dealers

Corp Fin OKs technical modification of process for offers and sales in IPOs

by Cydney Posner

In a new no-action letter to Morgan Stanley, Corp Fin agreed that, as outlined in the request letter, the firm’s proposed procedures for offering and selling securities in IPOs would not involve a pre-effective sale for purposes of Section 5(a) of the Securities Act. 412 more words

Securities