SEC Brought ‘Record’ 755 Enforcement Actions in 2014
The SEC filed a “record” 755 enforcement actions and obtained orders totaling $4.16 billion in penalties in fiscal 2014, the SEC says.
Coaches Corner: Nixing the Top 4 Excuses for Not Building Systems
Many advisors have great excuses for not implementing standard procedures in their firms, but there are just as many reasons to do so. Here’s how.
Misconceptions Over Investment Terms Can Plague Advisors Large and Small
The saga of the San Diego County pension plan and its advisor should serve as a cautionary tale for advisors about the importance of educating clients.
Yet Another Reason Why Internal Successions Are Best
Advisors are counting on an external sale (eventually) to fund their retirement, but in our experience the best exit strategy is an internal succession plan.
Raymond James Highlights Women’s Achievements, Tech Updates
The firm attracts a record number of attendees, including 29 prospective advisors, to its 20th annual event for female reps.
Bringing Financial Knowledge to the Barrio
Louis Barajas is spreading financial planning knowledge to immigrants in his childhood home of East Los Angeles.
The Succession Planning Mirage, and the Alternative
Few advisors have made actual succession plans, but there might be a very good reason for this.
30 Best iPad Apps for Financial Advisors
Here are advisors' favorite apps for networking, productivity, travel and more, according to ClientWise and its readers.
3 Questions Leaders Should Ask Themselves
Great leaders of the future will have a completely different leadership model, says Mark King, Adidas Group North America president.
Advisors, Show Your Value With Calculated Aggression
Elite advisory firms distinguish themselves in many nuanced ways.