Last November my wife and I were blessed with the birth of Liam, our second child and first son. My wife, who had diligently prepared for all aspects of the baby’s arrival, had been encouraging me to prepare my overnight “go bag&rdquo...

Let’s assume that one of your professional goals is to build a successful advisory practice that possesses the alter-ego of a first-rate marketing firm. If you’ve been around for a few years, it’s likely that you’ve honed...

Last week, The New York Times posted a story relating Apple‘s (AAPL) lackluster growth in the Chinese mobile phone market. In China, Apple is playing second fiddle to Samsung as consumers are demanding phones with larger screens at...

In 2010, FINRA amended Rule 8312 to require information concerning minor historic customer complaints be added to BrokerCheck records. Customer complaints that brokers had long since forgotten, which, in some instances, never resulted in...

LinkedIn has the ability to be an introduction powerhouse.  Letting advisors see “who knows who” and having a business-centric culture – it’s perfect for advisors focused on relationship marketing.  We know this...

My first day of production on Wall Street was the day the market crashed in October 1987...

What will the Federal Reserve do and how to react?

Now is a good time to tell your clients how to substantiate their charitable gifts on their 2013 federal income tax returns—due by April 15, 2014...

Affluent investor research cites that cold calling, direct mail, and public seminars have minimal to no impact with today’s affluent.  They don’t work.  Whereas 83% of today’s affluent tell us that they met their...

In April 2012, FINRA released Regulatory Notice 12-18, which features the Authority's proposed overhaul of the broker expungement process.  The overhaul applies primarily to brokers whom customers do not name as defendants to their...