Senators Prod FINRA for Broker Arb Expungement Data
FINRA CEO Richard Ketchum has until Jan. 6 to tell senators how FINRA plans to address findings that it granted nearly all expungement requests.
Merrill Grabs 3 Reps as Raymond James, LPL Each Add 2 Advisors
Meanwhile, Baird picks up a veteran financial advisor in Denver, who previously was with Charles Schwab.
3 Advisor Business Models of the Future: Cambridge Research
Jeff Vivacqua and a next-gen group of advisors take on the difficult task of identifying what their practices will look like in 2025.
2013 Advisor Hall of Fame
Now in its 23rd year, our eagerly awaited benchmark of industry excellence.
Devaluing Succession; People And Pay Pay-Off; A Kinder, Softer Planning Process: November Investment Advisor—Slideshow
What does an advisor have to do to ensure a successful transition with an internal candidate?
5 Creative Ways to Find Retirement Clients
Here's how five financial advisors are using powerful prospecting techniques to gain trust, visibility and, ultimately, new business.
GOP Senators Optimistic After Obama Meeting on Debt Ceiling
“I’m glad we had the discussion,” said Sen. Kelly Ayotte, R-N.H. “Now we have to put the words into action and get this resolved.”
Mission: Train Future Independents
Independent advisor Pamela Rigsby in Raleigh, N.C., was talking about the 24-year-old FA trainee she hired 18 months ago:
“I tell clients she’s a taller, thinner, younger, smarter me!” says Rigsby, 46, jovially. “She’s knocking it flat-out [of the park]. She’s doing the numbers. Headhunters call her all the time.”
12 Best U.S. Cities for Successful Aging
The Milken Institute rankings, compiled every other year, tally 78 variables on metropolitan regions, with surprising results.
$3.2 Million Team Comes Back to Securities America
Citing "cultural differences," Wayne Maier and his team split from National Planning Corp. after six years.