Of the many tasks you manage, the toughest to master may be your face-to-face interactions with clients. The highlight of the day for some advisors, it is the most confusing and opaque of jobs for many others. Either way, poor client communication...

During his 20-year career in the brokerage business, Stuart Silverman says he saw a significant void in the industry. He felt there was such a formidable gap between the captive and independent worlds that it was preventing reps who wanted to...

Twenty-seven years after we first began bestowing Outstanding Broker Awards on a select group of reps, Registered Rep. has finally decided it's time for a change.

Parking Violation The NASD suspended a former Commerce Capital Markets broker for four months and fined him $5,000 for his involvement in a so-called parking scheme designed to inflate bond prices.

Oy. What a headache. That's what many Series 7-carrying advisors are saying about the prospect of the end of the Merrill Lynch rule.

In an aggressive recruiting environment, with ridiculously high sign-on bonuses flying left and right, it's hard to keep financial advisors from getting the itch to defect.

There's nothing like a home-office visit to give you a flavor for the new firm you're considering and to help you decide whether it's the right place for you and your clients.

On Sunday evening, Aug. 28, 2005, the night before Hurricane Katrina was to hit Gulfport, Miss., financial advisor Bob Sawyer reckoned it might be a good idea to make one more visit to his Stifel Nicolaus office to board up some of its windows...

Branch managers are busier than they ever have been. Sure, compliance issues have grown. (Outside of the firearm industry, can you think of a more regulated business?) But it's not just the increased compliance burden brought on by the popping of...

The New York Attorney General’s Office announced today that it is suing UBS Financial Services for allegedly defrauding thousands of customers through its InsightOne fee-based brokerage program.