SEC Names McNeil First Ombudsman
As Ombudsman, Tracey McNeil will report to the SEC's Investor Advocate Rick Fleming.
Morgan Stanley, Raymond James Add $1M-Plus Reps, Team
Baird hires a branch manager from Wells Fargo in Philadelphia.
New Hire Roundup: Needleman Named to CFPB Advisory Board
Meanwhile, Dave Rau will head the trust tax group at U.S. Bank Wealth Management.
FINRA Arbitration Head Fienberg to Step Down
Linda Fienberg, an 18-year FINRA veteran, will leave at the end of November.
Advisor Goes From 860 Clients to Zero, Makes More Money
How Anthony Lombardi, founder of Perfect Client, got rid of his end clients, got out of asset management and got a life.
Advisors Focus on Financial Planning Needs of U.S. Military Members
Former Marine Rob Aeschbach says that for many young service members, concepts like saving and budgeting are alien, but advisors are stepping up.
Top 10 Best Paying Jobs: 2014
These 10 jobs all pay median salaries in the six-figure range, but most require an advanced degree.
The Secret to Turning Prospects Into Clients? Listen
As an RIA I'm in the business of rendering advice and solving problems, so with prospects I ask questions and listen closely to the answers.
Fiduciary Advisors Are in Peril: How to Fight Back
To combat the Wall Street-Washington lobbying campaign, fiduciary advisors must state in the clearest possible terms what fiduciary advice means for investors.
An Advisor Marketing Plan Where You Get New Clients (and Paid Up Front)
What if you could offer a service to new clients that could drive revenue of $30,000 a year while providing a pipeline of full-service prospects?