Perfect Insider Traders Got Caught
If there's one thing that insider traders like almost as much as playing golf, it's failing to recognize their own fathers' names in FINRA inquiries.
Clients Deserve a Clear Choice Between Sales and Advice
There's nothing wrong with commissions as long as the “clients” understand that they are getting “sold” rather than “advised.”
Determining the Right Time to Sell a Business
When your business-owner clients begin thinking about selling their businesses, they may ask you to determine what is the “right” time.
How to Help Business Owner Clients Sell Their Firm
Business owners work hard for their money, and selling their business may be something they rarely think about.
Exemptions Provide Key to Unlocking DOL Fiduciary Rules
Understanding the exemptions to the proposed DOL fiduciary rules can be as important to the advisor’s practice as the rules themselves.
Advising Couples Who Disagree on Risk Tolerance
Financial advisors must measure the risk tolerance of both partners and must not ignore the needs of the less risk-tolerant partner, usually the woman.
3 Questions to Ask Before Going Independent
If you're considering going independent, as many readers have told me via email, ask yourself these three questions to get started.
Tom James: Who 'Changed Everything' at Raymond James—The 2015 IA 35 for 35
Tom James became CEO of Raymond James Financial in 1970, succeeding his father Bob, and held that role until 2010; he remains chairman, and remains highly active on the big picture level for the company but also in recruiting new reps.
Is Fiduciary Sales an Oxymoron?
DOL and SEC need to make the distinction between sales and advice clear—and stop letting anyone other than an RIA call themselves an advisor.
The Digital Advocate: Your LinkedIn Centers of Influence
Advisors shouldn't just dabble in social media. Embrace LinkedIn in particular to reach COIs and professional advocates.