How PRISM Helped One Advisor Retire In Two Years… And Protected His Clients In The Process

As 2018 winds down, we would like to acknowledge the achievement of a significant milestone: the five year anniversary of our continuity and succession solution, PRISM. Pinnacle Advisor Solutions was founded in 2011 with a simple mission: to support the needs of independent advisors. We began by offering access to our investment management, financial planning…

Penalty - fraud

Failure To Adopt Continuity & Succession Plans May Lead to Stiff Penalties

At its recent LINC Conference, TD Ameritrade held a panel discussion, Washington Flyover: Policy Coming Your Way, moderated by Skip Schweiss, TD Ameritrade’s managing director for advisor advocacy and industry affairs. Schweiss highlighted in his comments “While surveys suggest most advisors are aware of the coming (business continuity) rule, less known is the fact that…