Building Your Business
Explore the latest industry news and advice that can help financial advisors build and grow successful practices.
Continuity Planning: The Missing Link in Most Succession Plans
By Angie HerbersWhile the industrywide lack of succession planning has been largely addressed, I find todays plans often fail to address an equally serious problem for clients.
May 15, 2017
What It Takes to Attract and Keep Financial Services EmployeesBeyond wages and benefits, workers want flexibility and career development.
May 11, 2017
FINRA to Clamp Down on High-Risk Brokers With Tougher RulesThe group is looking to raise fees, consider more severe sanctions and further restrict firm and advisors with disciplinary issues.
May 11, 2017
Arkadios Capital Nabs $1.8B Triad RIA, LPL Grabs $420 Merrill TeamMeanwhile, Kovack Securities buys broker-dealer with $200 million and seven advisors.
May 10, 2017
Ex-Simpson Thacher Partner to Head SEC DivisionWilliam Hinman has been named the head of the Division of Corporation Finance at the SEC.
May 09, 2017
CFPs Can Now Earn CE Credits Under IRS Tax Prep ProgramsCredits can be earned for the Volunteer Income Tax Assistance or Tax Counseling for the Elderly program.
May 09, 2017
Advisors, ThinkAdvisor Wants You to Share Your Military StoriesPlease tell us about your military service in a short survey so we can share your stories Memorial Day weekend in our Advisors Who Serve(d) slideshows.
May 09, 2017
Jay Clayton — Wall Street's Top Cop: The 2017 IA 25Groups press the new SEC chief to prioritize a fiduciary rule; appointing staff will be among his top tasks.