I PLAN TO POST EVERY OTHER MONDAY. IF YOU WOULD LIKE IT SENT DIRECTLY TO YOU, THEN LEAVE EMAIL IN COMMENT BOX. I am a registered financial advisor with a large Manhattan based global investment banking giant. I control over $300mm in assets and dispense advice to high net worth individuals who value my sound judgement and expertise. NASD requires that I inform my readers that in my 17 years as a registered representative, I have been charged only four times with violations of SEC, NASD, or state securites laws or regulations. All charges were settled through arbitration and only the one involving comingling of funds is included in my official U4 record. Relating to that violation, my license was suspended for six months. I am proud to announce that this year I was elected to the board of the Fairfield County Connecticut Association of Financial Advisors, not to be confused with the NASD sanctioned board of almost the same name. For what's it worth, I graduated with a BA in English Literature from Williams College. But like the best minds of my generation, I sold my soul to Wall Street because who doesn't like money.
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