It is readily apparent that California financial professionals comprise a group of closely regulated individuals. For starters, money managers – investment advisers, brokers, accountants and others – don’t embark on their public-facing careers without first...
Month: December 2020
Should an alleged drug or alcohol problem imperil a professional career?
Licensed California professionals employing their passions and talents across myriad occupational spheres routinely seek optimal outcomes for those who rely upon their special skills. Patients need treatment and cures. Best-case legal results must be secured. Buyers...
CA regulatory oversight of professional licenses broad and exacting
When it comes to shorthand designations customarily applied to California’s myriad regulatory bodies overseeing professional licensing, the acronyms are sufficient to conjure up alphabet soup. DOI. DRE. DSS. FINRA. The list goes on. And it signifies this: If you’ve...