Welcome to the National Association of Investment Professionals
Congratulations! You have just made a big step toward increasing your income and learning how to protect either your book of clients or the advisory practice you have worked so hard to build.
NAIP was founded in 1996 by a group of registered representatives and advisors. We are the only non-profit-membership organization that is strictly dedicated to providing individuals a voice in Washington with our lobbying efforts. NAIP has a rich history of accomplishments as an advocate for advisors.
NAIP is managed by a full-time professional staff and is advised by a Board of Directors comprised of members and strategic partners. We also have a prestigious list of Advisors who provide NAIP with insight and commentary.
NAIP provides its members with the following benefits:
- It gives members a voice in Washington.
- It provides members with a network of qualified attorneys, and other professionals to help them protect and grow their business
- It provides qualified members with client referrals. Join NAIP TODAY and receive your first advisory referral for FREE! This is a nearly $50 value you will receive upon joining NAIP today!
- It provides members with a network of other investment professionals (local and national) with whom to exchange ideas.
- It provides members with information on E & O insurance companies and referrals to carriers.
- It enhances the image of brokers/advisors with the public by building public awareness of the need for objective advice in making smart investment decisions. NAIP also educates the media about important issues affecting advisors and investors.
Members of NAIP get these books at no additional charge!
How to Buy or Sell an Investment Advisory Practice
or
How to Protect and Grow Your Business in the Financial Services Industry
These books are some of the many educational materials you will have access to when you become a member of The National Association of Investment Professionals (NAIP).
The experts who contributed to these books and to the NAIP member-only educational material include many well-known people in the financial services industry, including...
Thomas S. O'Keefe, Founder and President of NAIP
Sydney LeBlanc, cofounder of Registered Rep Magazine
Dan Jamieson, former Editor In Chief of Registered Rep Magazine
David Grau, President of Business Transitions
William Grable, CPA, President of Business Transitions Publishing
Mark J. Astarita, Attorney, specializing in Securities Law
Dr. Alden Cass, president of Catalyst Strategies Group LLC
NAIP also has a network of attorneys who contribute white papers on subjects like arbitration, the CRD, hiring an attorney, and handling client disputes. This information is available to members.
How to Buy or Sell an Investment Advisory Practice
If you are a registered investment advisor or independent contractor, and are considering either selling or expanding your practice, you will find the book, "How to Buy or Sell an Investment Advisory Practice", by David Grau and William Grable, a tool you can not be without. David and William have helped hundreds of advisors buy and sell their practices. You will value their real-world advice that will help you either expand your practice - or retire in style. Either way, this book could help make you thousands of dollars.
After you download their free book make sure you visit their website for more valuable information at http://www.businesstrans.com.
How to Protect and Grow Your Business in the Financial Services Industry
If you are a registered representative (stockbroker) and interested in protecting your book of clients from the onslaught of frivolous litigation and the dizzying array of new Washington regulations, you should definitely download "How to Protect and Grow Your Business in the Financial Services Industry".
Part 1 of this book explains how to protect your business. The featured author in this section is attorney Mark Astarita. For more than 20 years, in over 400 arbitrations, Mark has represented brokers and brokerage firms in all aspects of their business - compliance matters, regulatory investigations, promissory note disputes, hiring and firing disputes, securities arbitrations, customer arbitrations, etc.
Part 2 of this book explains how to grow your business. The featured authors in this section are Sydney LeBlanc and Dan Jamieson, champions of broker/advisor rights, and Dr. Alden Cass, "the Stock Doc", who has been featured in The New York Times and On Wall Street Magazine.
Mark Astarita can be reached at www.seclaw.com or at his firm's website, www.BeamLaw.com.
Please remember, these books are not the end-all in advice for reps and advisors. The world and our industry change constantly. To be kept up-to-date on these changes, the best thing to do is to become an NAIP member and allow us to email you Legislative News and Regulatory Information. To see recent changes, become a member and go to the new articles and research in the Members Area of our website.
I am reminded of a quote by Winston Churchill:
"To improve is to change; to be perfect is to change often."
Good luck on your path to perfection!
T. Sheridan O'Keefe
Founder and President of NAIP
If you are already an NAIP member, please provide the following information so we can send you links to download these great books. If you're not a member, take a moment to Join Now!