Month: September 2022 Articles

These days, broker-dealers and RIAs are looking for any excuse not to hire you. That is, if you have any negative information on your U5. Any at all. Why not? There’s plenty of people who want that job you’re after, and it’s a buyer’s market. So, if you want to work...

Every U5 case seems to start with a manager or supervisor taking an unhealthy interest in their reps, whether they want to steal your book and give it to a buddy of theirs or they don’t like you personally for some reason. Haters just gotta hate, yo. What’s really...