Broker Dealer Variable Annuities

Photo Release -- Security Benefit Bolsters RIA Platform
TOPEKA, Kan. -- Security Benefit Corporation, a leading provider of retirement savings and income vehicles, today announced new support for financial advisors in the RIA and Independent-Broker-Dealer channel. ... Read News

Suitability Developments In Annuity Sales In Texas
Variable annuities and $75.6 billion of fixed annuities. Variable annuities now hold almost $1.4 trillion in assets. by a registered securities broker-dealer would still be subject to suitability evaluations under broker-dealer rules. ... Get Document

Variable Annuities / Variable Universal Life
2090 Marina Ave., Box 6030 ♦ Petaluma, CA 94955-6030 Tel: 800-496-4330 ♦ Fax: 707-781-6148 ♦ www.Legacynet.com LFS1334F 0903 FOR BROKER / DEALER USE ONLY 11/09/05 ... View Doc

DOCUMENTING SUITABILITY AND ENFORCING ADEQUATE WRITTEN ...
And 00-44 on how a broker-dealer should sell variable products. In 2001, NASDR issued Notice to Members 01-23 giving broker-dealers guidance on the appreciation of the suitability rule. variable annuities, noting “[t] ... View Full Source

NASD Letter Deferred Variable Annuities (00177958.DOC;1)
Variable Annuities Dear Ms. Sweeney: I act as in-house counsel to McDonald Investments Inc. This letter is sent in response to your Broker-Dealer Sales of Variable Insurance Products”) provides the industry with excellent guidance on ... Fetch Content

Examination Findings Regarding Broker-Dealer Sales Of ...
This joint 2004 SEC-NASD report reviews weak sale practices associated with deferred variable annuities and gives recommendations including taking the customer's age into consideration. ... Fetch Here

Innovate. Evolve. Advance.
Variable annuities are long-term investment products designed for retirement purposes and are subject to market fluctuation, investment risk and possible the AGSI broker-dealer with SagePoint Financial in 2008. Prior to joining AGSI, he was the ... Document Viewer

FA
FA’s 2012 Independent Broker-Dealer Ranking 1. LPL Financial 2. Ameriprise Financial 3. Raymond James Financial Services 4. Lincoln Financial Network Contact: www.joinlpl.com ance, variable annuities, LP’s, individual securities and fee products. ... Content Retrieval

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Retirement Income Certainty Cash Bonds Mutual Funds/ Managed Money Stocks Annuities Longevity Inflation Taxes Market Volatility Rising Costs Interest the first of the month Broker Dealer Notification Email increase. Variable annuities are issued by Pruco Life ... Read Document

Variable Annuities - Welcome To Questar Capital
BROKER DEALER USE ONLY Variable Annuities Product Sponsor Toll Free Web site Strategic Partner: Allianz Life Financial (fka USAllianz) .. 800.542.542 7 .. www.allianzl ife.com ... Return Doc

CARL B. WILKERSON SECURITIES & LITIGATION - FINRA - Home Page
Broker-dealer branch office registration form. The American Council of Life Insurers of the variable annuities insofar as they are securities, shall in no wise [sic] be affected upon the taking effect of this section and sections 1329—1334 of this title. ... View This Document

FA
Variable Annuities 22% Real Estate 0% Alternative Investments 3% Other 50% Product Distribution Mutual Funds 22% Fixed Annuities 1% Individual Securities 2% RIA and broker-dealer for the affiliated sales force of New England Financial. Provides ... View This Document

Broker-Dealer Supervision Of Variable Annuity Sales
Relevant Suitability Requirements A. NASD Suitability Requirements 1. Conduct Rule 2310Conduct Rule 2310 2. Conduct Rule 2110 3. Special Guidance for Variable Annuities ... Content Retrieval

Fixed Index Annuities - Annuity Think Tank - About Annuities ...
Broker-dealer multiplied by an assumed average commission of 6.34%, which is a recent average from Annuity Specs, the leading Fixed Index Annuity research organization. In variable annuities fees have consistently been increasing, ... Retrieve Document

Order Granting A Conditional Exemption To Broker-Dealers From ...
1 and 15c3-3, a broker-dealer is not deemed to be carrying customer funds if it “promptly consider in recommending deferred variable annuities and requiring the registered representative to obtain certain information from his or her ... Access Doc

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Not registered for Financial Planning.com? The third-party marketing industry is in the midst of a sea change. First there was the consolidation of the industry itself, as larger firms like Raymond James, Cetera and LPL gobbled up or grabbed business from smaller players. ... Read News

John Hancock Annuities (U.S.A.) Change Of Broker/Dealer ...
John Hancock Annuities (U.S.A.) Change of Broker/Dealer Request Form InstructIons Use this form to change the Broker/Dealer of record on a John Hancock Life Ins. Co. Hancock Variable Life Ins. Co. annuity contracts. Please complete this form with appropriate signatures and either mail or fax to ... Document Viewer

The Broker/Dealer Comparison Grid
Broker/Dealer: The Investment Center, Inc Three Time Winner: Broker-Dealer of the Year 9 Pershing Clearing Platform 9 Variable Annuities Linked to Customer Statements 9 Available Trading 9 Performance Reports (Advisory) 9 Wealth Reporting 9 ... Retrieve Full Source

** Confidential **
For Broker/Dealer Use Only generally found with other variable annuities  Clients have the flexibility to take guaranteed lifetime withdrawals now or defer until the future and receive a higher income amount ... Access This Document

Description Of Services
We are an investment adviser and a broker-dealer registered with the Securities and Exchange ommission (“SE”), the Financial variable annuities, variable life insurance, and municipal funds (including Section 529 Plans). ... Retrieve Doc