More small broker/dealers are finding it is too much of a headache to run a small operation and remain profitable. So while several are closing up shop, many of their principals are finding new homes at some of the larger independent broker-dealers....More
There are still brokers out there acting like the "Wolf of Wall Street," and FINRA is making it a high priority to shut them down, said the agency's head of enforcement at a law seminar in New York Friday....More
Specialization is critical for advisors looking to differentiate themselves—with their firms and with their clients. But how do you go about matching your strengths with a specialty that truly interests you, and fits your talents?...More
Millennials stand to inherit $41 trillion but will any inherit you? Don’t assume you can work with the Millennial children the same way you did their parents. Learn what each generation is looking for in an advisor in this white paper....More
Top financial advisors like you are continually looking for ways to protect and strengthen their practice. Attend our webinar to learn about four best-practice pillars for building a solid foundation for your practice....More
Research shows that while the average age of financial advisors has gone up, the percentage of advisors that don't have a succession plan in place has gone up as well. Why don't more advisors have a plan, and how can the industry better prepare for the future.