In this section we present key findings and insights from our survey questions on practice management and operations, including services offered, the most time-consuming activities, professional designations, custody relationships and documentation trends.
New rules aimed at preventing registered investment advisors from pulling off ponzi schemes take effect Friday. Among other things, RIAs firms that hold clients assets in custody will be required to undergo annual surprise audits, conducted by...
A new website is trying to cash in on the social networking craze and resolve some of the thorny regulatory questions that social networking sites raise for financial advisors.
Want to “socialize” with other financial advisors? Discuss how to sell your book? Have a question about marketing yourself to high-net-worth investors? These and many more topics are being discussed right now on RegisteredRep.com’...
Online job boards have proliferated over the past decade. But while they're okay for trainees and lower-tier advisors, veteran FAs still rely on referrals.
M Securities named Brian Bristow vice president of Resources. Bristow will be responsible for supporting the business of member firms affiliated with M Securities by overseeing relationship management, due diligence, and transitions...
