Sunday, December 17, 2006

Larry Klein's answer to compliance problems

Below please find the response Larry recently sent a rep who is unable to use NF Communications products due to lack of a current NASD review letter. Instead of explaining why the NASD has not issued him a review letter in 12 months he simply refers to the prospective clients compliance department as "...children.."

Its easy to see why Larry is such a popular guy.


I recommend you switch BDs. I am trying to solve a problem and they act like children.

you dont need that.

Thank you,

Larry Klein, CPA/PFS, CFP®
Certified Retirement Financial Advisor™
NF Communications, Inc.
Marketing and Education Programs for Financial Advisors
1700 N. Broadway, Suite 405 Walnut Creek, CA 94596

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