Great Expectations: Meeting Client Expectations
By Mike PattonI had my second audit in three years this week. During the audit, one of the examiners asked if I ever advertise. My response was,...
March 15, 2010
Fidelity Rolls Out New Service Model for Affiliated Advisors and B/D RepsCentralized client service organization aimed at independent advisors, B/Ds, family offices, and traders
March 15, 2010
Investors Jump Back Into Market but Are Uncertain of Steps AheadSchwab sees areas of improvement and concern in economy
March 15, 2010
As Reform Bill Nears Release, a Renewed Call for the Fiduciary StandardNobel laureates, economists, industry luminaries sign statement from Committee for Fiduciary Standard
March 15, 2010
Mutual Funds or ETFs? Or Both?I, like many of you, enjoy the money management aspects of this business. This week I took a fresh look at the categories in which...
March 08, 2010
Some Simple, Practical Steps to Saving Your Bacon. Plus, It's Audit Time, AgainWhile attending the TradePMR conference in Orlando recently, advisor and tech guru Joel Bruckenstein discussed advisor technology tools. Part of his presentation was about backing...
March 01, 2010
AIG Sells Asian Life Insurance Company to Prudential plc for $35.5 BillionSale of AIA allow faster payback to the government
March 01, 2010
LPL Financial: Nears 12,000 Indie AdvisorsAs it nears 12,000 advisors, LPL Financial stands just below Morgan Stanley Smith Barney (18,135 FAs), Bank of America-Merrill Lynch (15,006) and Wells Fargo Advisors (14,961).