Carson, Duran, Kitces on the Biggest Tech Stories of 2017 (and Beyond)
Six industry leaders gave Investment Advisor their take on the year’s biggest fintech news, their thoughts on what's to come and their favorite tech tools.
FINRA Warns BDs of Impending AML Rule Compliance Deadline
The regulator reminds BDs of the upcoming May compliance deadline for Anti-Money Laundering Compliance Program Rule 3310.
UBS Exits Protocol, Creating ‘New World’ for Advisors, Clients
The departure will impact reps and clients, says Danny Sarch, though Mark Elzweig sees things differently.
How to Build, Cross and Burn Bridges
The coming new year may be a tough one business and advisory wise, so here are changes to make so you and your firm can survive and prosper in 2018.
How to Find and Keep Your Ideal Mentor
After connecting with the right person who can guide and teach you, the next step is to make the relationship beneficial to both parties.
Waddell & Reed Makes Exec Shifts at Ivy Funds, BD
The firm announced the departure of Thomas Butch and new appointments to key leadership slots.
Ameriprise Adds 3 Morgan Stanley Advisors: Recruiting Roundup
The advisors come on board in Arizona, Massachusetts and Minnesota with a total of $234 million.
13 Best & Worst Broker-Dealers: Q3 Earnings, 2017
Most, but not all, large financial firms with broker-dealer operations reported positive results for the quarter.
Joe Duran’s 6 Rules to Succeed in the Age of Vanguard
Duran gave the Schwab Impact audience concrete ideas to help advisors successfully deliver financial advice in a world of disruption.
Theo Epstein: What Baseball Can Teach Advisors About Failure
In baseball, if you fail more than you succeed, then how did Epstein lead the Red Sox and Cubs to glory, all before age 43?