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.
Ladenburg Thalmann (AMEX: LTS) said its fourth quarter revenue nearly doubled, growing 96 percent to $107.3 million from the year-ago quarter at $54.6 million. The spike was primarily due to the company’s acquisition of Securities America...
The Securities and Exchange Commission has filed charges against New York-based venture capital broker/dealer Felix Investments and the firm’s founder Frank Mazzola.
I'm leaving you. I'm leaving you for someone else. It's over. It's been great, really. You've given me so much space, so much freedom. Most people don't understand our relationshipI don't want this to end. But I don'...
Joe Stallings went from producing top video games like The Sims and Tiger Woods PGA Tour to marketing chief for financial advisory firm Balentine. We asked him about the need for community engagement, best social media strategies and who, exactly...
The world of the brokerage office managers and their equivalent peers in the bank-based investment offices are similar in most respects but one: Happiness.
There’s always a bit of anxiety in the air when financial advisors study for the rigorous Certified Financial Planner exam, but the version of the test that’s coming next week may be accompanied by more than the usual share of worrying.
You might call it luck, but getting up early, being at a high-end fitness center, and being prepared with a strong value proposition landed an initial meeting with an excellent prospect.
AIG Advisor Group is in talks with a few mid-sized broker/dealers and larger offices of supervisory jurisdiction (OSJs), and hopes to make one or more acquisitions in the near future.
Jordan Waxman can handle the Ironman—he’s planning to run his fifth and sixth triathalons this year—but he couldn’t handle Bank of America bureaucracy.
