Drag racing car burns rubber off its tires in preparation for the race

Related Content

Broker-dealer technology represented by lightbulb with technology leads inside

Podcast

Industry Insights: Broker-Dealer Technology Platforms

Broker-Dealer Technology Today Broker-dealer technology and operating systems are always evolving. In today’s financial services industry, broker-dealers and investment advisors are seeking new revenue streams, efficiencies and a better client experience to gain a competitive advantage. Brokerage firm business models are changing and Fintech (financial technology) continues to offer potential opportunities for growth. The result: […]

Learn More

Blog

Client Experience in the Digital Age

Technology Innovation – Redefining the Client Experience Technology plays a crucial role in improving the client experience in the wealth management sector in today’s digital age. Firms are using innovative technologies to meet and exceed rising expectations for personalized and efficient services. Here’s how digital technology is redefining client interactions in wealth management, creating more […]

Learn More

Compass representing the direction registered reps need for compliance

Blog

Registered Representative Compliance – Must Know Essentials

You’ve decided to enter the exciting world of wealth management and want to work at a broker-dealer as a Registered Representative. Now what? Qualifications Overview To be a Registered Representative (Registered Rep), you must be registered with an SEC registered broker-dealer, pass a qualifying exam, and be licensed by your state securities regulator. The firm will […]

Learn More