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Keep Your Enemies Close … But Not Too Close!

In the Securities Industry, there are good times, bad times and dead market times. In good times, like now, it is hard to imagine “other” blips that could affect your career and your life. Past times can and should teach …

Keep Your Enemies Close … But Not Too Close! Read more »

Brokerage Training For The Ages: My Days With Ross Perot

See that chart? I lived through that as a rookie broker with a firm called duPont Glore Forgan, a U.S. securities powerhouse owned by H. Ross Perot. Just to the left of that incredible dip in 1973/74 it was thereof …

Brokerage Training For The Ages: My Days With Ross Perot Read more »

Market Volatility and Small Firms

“RED SKY IN THE MORNING, SHEPHERD’S WARNING “ After a good long run on the upside there is nothing like the emergence of serious volatility in the securities market to get everyone’s attention. Following that bouncing ball leads one to …

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Investment Advisor Stress Disorder (I.A.S.D)

With so many damn syndromes/disorders out there these days including “The Dummy Donald Self-Inflicted White House” variety, I reckoned that the royal ‘WE’ deserved one of our own. As a broker in days-gone-by and as a long serving ‘suit’ I …

Investment Advisor Stress Disorder (I.A.S.D) Read more »

The Exit Protocol in the Securities Industry

“I’m leaving this damn chicken coop and taking my eggs with me” — an anonymous broker This is going to sound a little dated, but I can distinctly remember when one of our brokers fled to another firm in a …

The Exit Protocol in the Securities Industry Read more »

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