Add Millennial Clients Before They Get Wealthy
“Advisors can’t wait until this next generation is wealthy before they start rolling out the red carpet,” TDAI's Tom Nally said.
Schwab Posts Record '14 Profits, Sales; New Client Assets Hit $124.8 Billion
Net income was up 23% for year to $1.3 billion on 11% rise in revenues to $6.1 billion; client assets up 10% to $2.46 trillion.
Raymond James Picks Up $1.3M Rep From UBS
Also, Stratos Wealth added two advisors near Columbus, Ohio.
Is a Single Advisor Dashboard Coming Your Way?
And is a single client portal in the offing as well? To get there, the Big Three advisor technology solutions must go beyond mere integration.
SEC’s Top Exam Priorities for 2015: Retirement Savers, Branch Offices
The regulator also will zero in on reps who offer "a variety" of fee arrangements.
An Investor-Friendly Way to Switch Broker-Dealers
Advisors can use some creative techniques when telling clients why they changed broker-dealers or custodians. Start with your new firm's financials.
Raymond James Adds $1.1M UBS Rep, Ex-RBC Team
Meanwhile, Focus Financial affiliate adds an advisor with some $200 million in assets.
8 Oddest Enforcement Cases of 2014
Office equipment trafficking, a broker who gave client money to charity and more offbeat cases from the SEC and other regulators.
Time to Reform FINRA: Mercatus Paper
A paper from the Mercatus Center's Hester Peirce argues that FINRA exhibits “a troubling independence from government, industry and the public.”
Need Professional Help? If You’re Looking for a Successor, Hire a Recruiter
When it comes to hiring a successor, using a professional recruiter is not really an option any more: You just need to do it.