Broker Check

St. Petersburg Office

6414 1st Avenue North

St. Petersburg, FL 33710

 

Archive

1/5/23 Financial Planning

10/27/22 RightBridge Clarifications

10/14/22 What’s New With Check Blotters, Check Blotter Policy Update

9/22/22 Annual Review Documentation Requests

6/30/22 RightBridge Updates

5/5/22 Duty of Care RightBridge Updates

1/21/22 Duty of Care Updates

11/18/21 Duty of Care Update Duty of Care Account Addendum

10/06/21 Account Periodic/ Annual Reviews Updated Annual Review Checklist

9/23/21 Foreign Accounts

8/26/21 Texting Clients

8/9/21 Double Dipping

7/8/21 Personal & Private Securities Transactions

5/27/21 Employer Sponsor Plan Rollover

4/15/21 Processing Tips and Tricks

4/8/21 Complaints, Regulatory Inquiries

2/12/21 Income & Net Worth

2/4/21 Prohibited Transactions

1/14/21 Duty of Care Updates

                    Services

12/18/20 Rep Managed at NFS or Pershing

                    Follow up

                    Acknowledgement Form

11/5/20 Outside Business Activities

10/15/20 Educational Opportunities

10/4/20 Duty of Care

9/22/20 Political Contributions

7/14/20 Disclosure Delivery

6/30/20 EIRA Form Update

6/4/20 Reg BI Updates

5/21/20 ROTH Conversions

4/30/20 FrontPoint Functionality

4/23/20 Add Accounts

4/9/20 Prepping for Reg BI Notifications

3/26/20 Customer Service Pandemic Perspective

3/18/20 Business as Usual in Unusual Times

2/27/20 Large Cash/Zero Trades

2/13/20 Approved Products

1/9/20 Resolve to be Compliant

1/2/20 Mistakes Matter

12/12/19 Year End

11/15/19 FrontPoint

11/7/19 Sponsor Transactions

10/10/19 Document, Document, Document

9/19/19 Trusted Contact      Request Form

9/5/19 Licensing Renewals

7/18/19 Annual Reviews & Know Your Client

7/11/19 Reports

6/20/19 2019 CE Requirements

3/28/19 Fines

3/21/19 Email Encryption

3/14/19 Closed Accounts

2/28/19 Form ADV

2/21/19 Hidden Gems

2/15/19 Financial Planning

2/7/2019 Honeymoon is Over

1/31/18 Albridge Client Access Registration Change

1/10/2019 Items for Attention

1/3/2019 2019: The Year of Organic Growth

12/27/2018 Year End Cleanup

11/1/2018 ALIL Forms

10/25/2018 Thursday Tips

10/18/2018 FINRA Exams

10/11/2018 Variable Annuities

9/27/2018 Required Minimum Distributions

9/20/2018 Licensing Renewals

9/13/2018 CE Requirements

9/6/2018 Voicemail

8/30/2018 Trade Monitor

8/15/2018 Annual Reviews

8/2/2018 Audits

7/19/2018 Robo Advisor

7/12/2018 Call Who?

7/5/2018 Marketing

6/28/2018 Share Classes

6/21/2018 Securities America Videos

6/14/2018 Things we learned at the Conference

5/31/2018 Checks & Disclosures

5/10/2018 Annuity Wizard

5/3/2018 Clean up

4/26/2018 Sponsor Transactions

4/19/2018 Checks

3/8/2018 Good News

2/22/2018  New Account Form Update- Racing the Clock

2/15/2018 Navigating the Account Servicing Tab

2/8/2018 Sponsor Transactions

1/25/2018 Missed RMD