Six Critical Broker-Dealer Questions for Transitioning Advisors

SSN Marketing Business Development

Six Critical Broker-Dealer Questions for Transitioning Advisors By Simon Hoyle, Director of Business Development Broker dealer ownership, size, compliance, and technology impact our practices like never before.  Industry shifts have placed high advisor priority on stability.  Focus on these make or break components to secure the optimal experience for you and your clients. Who owns the broker dealer? This may …

Securities Service Network names Joe Simpson Chief Information Officer

SSN Marketing IT, News, Press Release

— Leading Independent Broker-Dealer’s Promotion of Veteran Tech Executive Reflects Continued Importance of Technology Strategy in Firm’s Support to Financial Advisors — KNOXVILLE, TN (March 30, 2017) –Securities Service Network, Inc. (“SSN” or “the Firm”), a leading independent broker-dealer and registered investment adviser, today announced that Joe Simpson has been named to the newly-created position of Chief Information Officer, effective immediately. …

Securities Service Network Successfully Concludes Inaugural Top Advisors Conference

SSN Marketing News, Press Release

— Independent Broker-Dealer Focused on Industry-Leading Operating Efficiency Congratulates Top 40 Advisors — — Invitation-Only Event Provides Recognition to Elite Advisors with Unique Opportunities to Network and Share Best Practices — KNOXVILLE, TN (March 16, 2017) – Securities Service Network, Inc. (“SSN” or “the firm”), a leading independent broker-dealer that specializes in driving industry-leading operating efficiency at the home-office level, today …

DOL Digest October 19, 2016

SSN Marketing DOL

Mutual fund share classes and their respective costs have come under greater regulatory scrutiny in recent years. The proliferation of funds and share classes has created a universe of more than 24,000 different investments, according to an April 2016 article in Investment News. While many fund companies offer fairly standard A, B, C and I shares, others have created up …

DOL Digest August 1, 2016

SSN Marketing Compliance, DOL

When it Comes to Conflicted Compensation, It’s All About That BICE With apologies to pop singer Megan Trainor, when it comes to receiving differential or non-level compensation under the Department of Labor’s (DOL) new fiduciary rule, it really is “all about that BICE.” The Best Interest Contract Exemption (BICE) is a prohibited transaction exemption within the new fiduciary rule that …