Published on The Center for Due Diligence (http://www.thecfdd.com)
Dual Registration: Cheerleading Or The Real Thing

Dual Registration: Cheerleading Or The Real Thing [1]
12/04/2009

As the competitive marketplace evolves, including the advent of increased litigation & regulation, registered reps are rightly stampeding towards dual registration. This hybrid status allows advisors to maintain/increase market share, differentiate themselves, provide investment advice beyond that which is incidental, capture high net worth fee-based business and service smaller accounts on a commission basis. The IAR status also facilitates business with more sophisticated plan sponsors.

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Source URL: http://www.thecfdd.com/node/4452

Links:
[1] http://www.thecfdd.com/files/insights/DualRegistration.pdf