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The SIPA was the moderator for 5 would be FINRA small firm candidates and things got a little feisty. The Financial Services Exchange (FSX) hosted the debate at their quarterly meeting in Ft. Lauderdale and was followed by a talk on Financial reform. Listen to Host John Busacca and Special guest Attorney Rick Nummi, formerly of the SEC discuss the debates as well as the financial reform bill recently passed.
Often we hear investors say "That company has real potential. I wish I had the cash to invest. My money is tied up in....".
If they are high net worth and have been making the income that would qualify them as an angel investor, they likely have built up a portfolio that is worth over a million dollars. The problem is that the portfolio is likely tied up in investment products that are not liquid or are somewhat illiquid because selling that product would decrease their return on that investment, incur a negative tax event, or a penalty for early withdrawel. Furthermore, their financial advisors are discouraged by FINRA and the Broker that holds their license from discussing early stage private equity investments as part of a portfolio diversification strategy for wealth creation. So naturally, they wouldn't talk to that motivated investor about other means to make the private investment.
We will do just that in this broadcast.
Karen Rands, Host of the Compassionate Capitalist show, will explore two ways to make investments into private companies when an investor doesn't have cash on hand but has ample accumulated wealth.
1. Self- Directed IRA
2. Portfolio Margin Loan
To get more info on this topic, visit the My Virtual Angel World Blog: http://bit.ly/MVAW-cash
To sign up for all announcements, news and excerpts of the Inside Secrets to Angel Investing, visit the National Network of Angel Investors member site: http://bit.ly/nnoai
Join us on Twitter: http://twitter.com/NNOAI
and Facebook: https://www.facebook.com/thenationalangelinvestornetwork
To connect with Karen, visit: http://launchfn.com/contact.html
The SEC announced today that 12b-1 fees will be eliminated. This could be bad for small B/D's and even worse for Investors. FINRA dissident candidates will weigh in with their opinion as well as their opinion on the proxy ballot before FINRA members right now.
Scottsdale, Arizona- Heather Wagenhals, Executive Producer and host of UnlockYourWealthRadio.com welcomes this week’s financial expert Joseph Meyer, CEO of Meyer & Associates and leading industry arbitrator with the New York Stock Exchange. Listen this Friday morning at 9 a.m. PST as Heather and Joseph break down investments, stock market and how FINRA (Financial Industry Regulatory Authority) can affect you during an arbitration.
The Horsesmouth Book Club's February pick is a new book that alleges, among other things, that FINRA dumped its own $650 million portfolio of auction-rate securities shortly before the market froze in 2008.
Hear author Larry Doyle talk about many of the shocking revelations he uncovered in the process of researching his book in this interview conducted by Sean Bailey, Horsesmouth's Editor-in-Chief.
CEO J.B. Bryan who owns the J.B. Bryan Financial Group, Inc. in Richmond, Virginia talks about life as a business owner, mother and single woman pursuing her purpose. Join US LIVE on 2/13/2014 at 6:30 p.m. EST on Blogtalk Radio. You can join the conversation by calling in to (347) 539-5427. We'll see you on the AIR~
J.B. Bryan Financial Group, Inc is an independent Registered Investment Advisory firm with securities offered through Summit Brokerage Services, Inc., Member FINRA (www.finra.org) and SIPC (www.sipc.org).
Sunday, February 9th at 11:00 am EST:
11:00 am EST: John O'Brien, MA Southern Essex District Register of Deeds and his First Assistant Kevin Harvey - to discuss the impact of foreclosure fraud on our county records.
Register O'Brien:"People need to know that this is not a Democrat or Republican issue! It is an American issue; one that strikes at the very backbone of our country – people’s property rights; and to make deals and turn a blind eye to fraud is awful!”
12:00 pm EST: Larry Doyle, a Wall Street veteran, and an author of the recently published book, "In Bed with Wall Street"Larry:"This revolving door and the corruption that goes along with it is one of the only -- if not the only -- issues that the overwhelming percentage of people in our nation both understand and agree on as being a HUGE problem."
Join Lauren Boyman, Executive Director of Digital Strategy at Morgan Stanley Wealth Management, as she discusses managing online and social media in a highly regulated and compliance-heavy industry. How do wealth managers walk the fine line of 'being social' and staying in compliance with FINRA and the SEC?
Acclaimed social media thought leader Beverly Macy interviews business leaders, celebrities, sports figures, and newsmakers who are harnessing the power of social media in business, sports, and entertainment. Join her for one-on-one interviews and roundtable discussions on THE hottest topic making headlines today.
William Wesley is an Adjunct Professor at Golden Gate University’s Ageno School in Business in San Francisco, California. He teaches management principles and business communication in the undergraduate program. William is a Dispute Resolution Arbitrator with the Financial Industry Regulatory Authority (FINRA) and an author who released his first book, “Full Life Balance: Five Keys to the Kingdom (How to Live Better Every Day)” in 2011. Full Life Balance has been used several times as a college level textbook.
William has over 20 years in sales, financial services and retail sales management. He has been directly involved in the financial services industry since 1995 with such firms as Morgan Stanley, Charles Schwab, Citibank and Merrill Lynch and has held such positions as Financial Advisor, Bank Branch Manager, and Vice President of Investor Education. Prior to his time in financial services he held sales and store manager positions in the consumer retail environment. William holds basic and supervisory securities licenses (Series 7, 24, 63, and 65) and a Life and Disability license. He also holds a Real Estate Brokers license. He received his MBA and his JD (Doctor of Jurisprudence) fromGolden Gate University in San Francisco.
William recently launched the Million Book Campaign, the goal of which is to provide one million books and one thousand seminars and workshops to the incarcerated and the members of the Armed Forces. He is a current advisory board member of Biotech Partners, a Berkeley based youth science internship program. William is a former San Francisco Human Rights Commissioner, the creator of the Stadium Scholarship program, a former Board of Managers member of the Bayview Hunters Point YMCA and the former Program Director of the Mayors Summer Youth Employment Program.
Reverse Mortgages with guest speaker Alfie Schloss of Associated Mortgage Bankers, Inc.
Representatives are registered through, and securities are sold through Nationwide Planning Associates, Inc., Member FINRA/SIPC, located at 115 West Century Road, Suite 360, Paramus, New Jersey 07652. Investment Advisory Services offered through NPA Asset Management, LLC. Nationwide Planning Associates, Inc. and Macro Wealth Management, LLC are non-affiliated entities.
Livingston Securities LLC Part II is a FINRA member investment bank/advisory and broker/dealer dedicated to providing corporate finance and strategic advisory services to corporate clients and sales, trading and related services to institutional investors and high net worth individuals who focus on nanotechnology and other emerging technologies and their impact on healthcare, energy, infrastructure and other leading sectors of the American and global economy.
Scott Livingston, Chairman and Chief Executive Officer of Livingston Securities LLC.
Mr. Livingston has been working on emerging technologies at Wall Street firms for over 18 years and has specialized in nanotechnologies since 2002.
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