From:Registered Rep. and Fidelity Institutional Wealth Services
[registeredrep@pmemailer.com]
Sent:Friday, February 27, 2009 10:05 AM
Subject:Becoming an RIA? Fidelity Investments Invites You To Learn the
Legal Considerations
This
message has been sent by Registered Rep. on behalf of Fidelity Institutional
Wealth Services.
Legal Considerations of
Going Independent
Learn the legal, regulatory and
non-compete considerations of going independent BEFORE you make your move.
Join Fidelity Institutional Wealth Services for this
informative session on the legal considerations of going independent,
including:
The development of a sound exit strategy
The employment transition, corporate and regulatory
implications
The challenges, solutions and resources of a
successful transition
Date: Thursday, March 5, 2009 Time:
4:00 p.m. ET
About the speaker:
This presentation will
feature Brian
Hamburger, JD, AIFA, CRCP, founder and managing director of
MarketCounsel®, a business and regulatory compliance consulting
firm for entrepreneurial investment advisors across the country.
MarketCounsel is the creator of the RIA Incubator program, a comprehensive
suite of services specifically designed to provide new registered
investment advisers with the business and regulatory consulting they need
while fulfilling their registration obligations and installing an initial
compliance program.
For more information on this webinar, please contact a Fidelity Investments
representative at 866-728-5370.
For investment professional use only.
The FIDELITY INVESTMENTS and Pyramid design logo is a registered service mark
of FMR LLC.
Brian Hamburger of MarketCounsel is an independent speaker and not affiliated
with Fidelity Investments.
This email may be
considered advertising under federal law.
If you decide not to receive future e-mail communications,
please follow the opt-out instructions below. Note that you may still receive
other types of e-mails from Fidelity Institutional Wealth Services unless you
expressly indicate to us otherwise. Please allow 10 business days from the
date of receipt of your e-mail for your request to be effective.
If you would prefer not to receive future e-mail communications:
1. Click on the Reply button
2. Replace the Subject field with the word REMOVE
3. Click the Send button
Fidelity Institutional Wealth
Services 200 Seaport Blvd., Z2B1, Boston, MA 02210
Clearing, custody or other brokerage services may be provided by National
Financial Services LLC, or Fidelity Brokerage Services LLC, Members NYSE, SIPC
517309.1.0
Your email address has not been given to any third parties. You
received this email because you have an existing business relationship with
Registered Rep. Periodically, we will inform you of special offers and new
products from third party mailers pertaining to your profession or possible
interests. If you do not wish to be contacted with these offers via email,
please click
here to opt-out.
Registered Rep. | Penton Media | 249 W. 17th Street | New York, NY 10011 | Privacy
Policy
Registered Rep. is the most trusted digital and print source for the retail investment professional, serving brokers, financial advisors, RIA’s, IBD’s, insurance, financial planners, and financial product companies with award-winning insight coverage of the brokerage, wealth management, fund and financial product industry as well as breaking news, data, rankings, and profiles.
Subscribe today to get the news you need and information you want from our e-newsletters. To preview the current issue click on the newsletter below. Subscribe Today!
