News and Views for Banks, Credit Unions, & Financial Advisors that support them.

2022-11-03 by Compass Consulting

FINRA Regulatory Notice 22-23

It’s likely you have heard me talking about our concerns with financial institution comp plans, incentive plans, and… Read More

2022-09-16 by Compass Consulting

Our Co-Founder, Eric Armstrong, is in the News!

September 8, 2022 Financial Advisor IQ recently published an article about how banks are partnering with broker-dealers to… Read More

2022-08-08 by Compass Consulting

Regulation Best Interest (Reg BI) Update

REPUTATIONS TAKE DECADES TO BUILD & MINUTES TO DESTROY On June 28, 2022 FINRA released a podcast featuring… Read More

2022-01-13 by Compass Consulting

2022 Predictions for Financial Institution Wealth Management

2021 was a busy year in bank / CU wealth management, but what’s waiting for us in 2022?… Read More

2021-04-23 by Compass Consulting

Banks & Credit Unions – The Time to Recruit is Now!

I’m not overstating it when I say Financial Advisor recruiting numbers have never been this good – or… Read More

Dreamers vs Insomniacs
2021-03-29 by Compass Consulting


What does Jamie Dimon know that we don’t?  I know – silly question. In Q2, 2020, Kristin Lemkau,… Read More

Potential Risks for Banks Using Third-Party Broker-Dealers
2021-03-29 by Compass Consulting

Potential Risks for Banks Using Third-Party Broker-Dealers

In January of 2019, Roy Kim, the Director of Banking Asset Management from ACA Global, wrote an article… Read More

2021-02-22 by Compass Consulting

The 4 C’s for Choosing a Third-Party Broker-Dealer

We continue to believe that the next decade will be transformational in the Commercial Banking and Credit Union… Read More

2021-01-15 by Compass Consulting

Bank / Credit Union Financial Advisors – Create More Leads and Income by Doing Less

For nearly 30 years, we have worked with Commercial Bankers, Trust Officers, Wealth Managers, and Financial Advisors across… Read More

2020-12-14 by Compass Consulting

The “Low-Value-Client” Label Is Alive and Well in Wall Street Firms

This could arguably be one of the most important topics if you are a bank or credit union… Read More

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