Guest Author

Jennifer Vachon

CCO, Chief Compliance Officer

As PWL former Senior Director of Operations and Compliance, Jennifer played a vital role in the company's day-to-day operations, monitoring all of the firm's investment-based activities.
As PWL former Senior Director of Operations and Compliance, Jennifer played a vital role in the company's day-to-day operations, monitoring all of the firm's investment-based activities.
Compliance & Governance
People Raising Hands Asking Questions

Why So Many $&@*% Questions?

Whether you’re a new client or an existing one with a new action plan, you can’t wait to get started. Neither can we! But first – there’s just a teensy bit of paperwork to complete. Okay, I confess, it may be quite a lot of paperwork, with a lot of pretty personal questions.

Compliance & Governance
Female Financial Advisor Explaining Clients Listening

What Makes Good Advice… Good?

First, we need to redefine traditional financial advice – the kind that’s focused on issuing buy/sell recommendations, executing transactions and collecting commissions. If that’s what you’re thinking of, you are correct. You don’t need that. You probably never did. So, what is “good advice”?