3 More Ways to Get Referrals Without Asking
My seven-word strategy will get your clients to volunteer more referrals.
Your Employees: The First Line of Defense Against Cybersecurity Threats
Help your employees better understand their role in identifying threats and preventing cybersecurity attacks against your firm and your clients.
Crossing the Digital Divide
New years are customarily accompanied by resolutions — and United Capital’s Joe Duran recently gave advisors three years’ worth.
Wells Fargo Outlines DOL, Tech Plans; Departures Continue
The wirehouse urged its FAs to "have conversations with clients and document" that discussion.
Optimizing Your (Online) First Impression
Are advisors keeping up with the importance of first impressions to the next generation?
Technology As an Investment – And a Niche
Clients who are keen to have Kim Gaxiola as their financial advisor better not have reservations about technology.
The Future of Financial Advice: ‘Judgment Day’ or ‘Rise of the Humans’?
A CFP Board white paper explores the future effects of digital advice on the financial planning profession.
Wine Merchant Gets 6 Years in Prison for Ponzi Scheme
John Fox ran Premier Cru, a "phantom wine" futures business that cost investors about $45 million.
National Planning Holdings Partners With BlackRock, American Funds to Boost Platform
The parent firm of four IBDs says it is rolling out more technology to its 3,500 affiliated reps.
FINRA Expels First Crowdfunding Portal
The regulator says uFundingPortal.com violated several SEC regulations and FINRA's own portal rules.