In late October, Travis attended the Finlocity Q4 BD Exec Leadership Forum Conference in Henderson, NV.
Here’s what Travis had to say about the event: “At the event we navigated the impacts FINRA Rule 4111 has on the hiring process and retention decisions of Reps who have negative disclosures on their U4’s. We also shared FINRA audit findings from various firms regarding how/when it is appropriate to let Registered Principals work from home. We rounded out the event by looking at the threats and rewards of tracking Rep performance with regards to investment performance”