Bridging the Advisor-Lawyer Gap
How to build advisor-attorney networks that will generate referrals and benefit clients.
The 2015 Broker-Dealers of the Year Are Ready to Rumble
The Broker-Dealers of the Year, as chosen by their own reps, will take on the DOL and anyone else who threatens the IBD model.
New Hire Roundup: MarketCounsel Hires 2 to Expand Business Growth
Meanwhile, the Financial Services Roundtable welcomed Chris Feeney as president of FSR’s technology division BITS.
New Hire Roundup: NASAA Names Joseph Brady Executive Director
Meanwhile, TIAA-CREF announced that Derek Dorn has been named vice president of public policy and associate general counsel.
New Hire Roundup: NY Life Names John Kim President
Meanwhile, James Perkins has joined the Mather Group's Chicago investing team as a senior portfolio analyst.
Estate Planning an Essential Step for Every Retiree
Planning to pass away — it’s a touchy subject with many clients, but one that has to be addressed.
Turning Succession Planning Into Business Growth: Raymond James
The independent arm at Raymond James is brokering deals for its own advisors, as well as for breakaway wirehouse reps nationwide.
Fiduciaries to Pay $39M for Raiding Death Benefit Plans; Outcry Over DOL Rule Continues
A federal court entered a $39.8 million judgment in favor of workers who participated in more than 400 death benefit plans.
Taming Risk in Alts to Fit Into Client Portfolios
One veteran advisor explains how he mixes in venture capital and private equity, along with extra vigilance.
FINRA’s ‘Total Warfare’ Against Brokers in Arbitration
Breakaway brokers and pros across the financial industry cite biased panelists, missing hearing records and a 93% win rate for brokerages.