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.
Los Angeles: “I’m excited about meeting with this new prospect tomorrow,” started John. He continued with, “I know there needs to be some rapport building before I jump into any business, do you have a list of questions I can ask as conversation...
Earlier this year, Registered Rep. launched its first annual Independent Broker/Dealer Report Card, giving IBD advisors the chance to grade their firms and see how they stack up to the rest of the industry. We’re now seeking participation in the...
Study after study has documented how financial advisors are using social media these days, and webinar after webinar purports to show them how to use social media tools to reel in new assets. Really financial advisors are just getting started, and...
Financial advisors are increasingly concerned about the financial strength of the insurance companies whose products they sell. They cite low interest rates and exposure to the stock market via product principal guarantees as grounds for their co...
Financial advisor Rick Bloom is better equipped than most to handle an SEC audit. Both a lawyer and a CPA, Bloom runs Bloom Asset Management in Farmington Hills, Mich., a registered investment advisor with $830 million in assets under management...
