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.
Some advisors have jumped ship from independent broker/dealer Securities America for LPL Financial (NASDAQ: LPLA) following news that parent Ameriprise Financial (NYSE: AMP) would sell SAI. Most recently, a $420 million team in Cornelius, N.C....
Los Angeles—“I loved your speech. Your insight and research on elite advisors and teams are spot on—a number of points I need to incorporate into my team,” an enthused Tom said after my keynote. “But if I could give you one piece of feedback: You...
Nancy Martignago, a sales assistant for Merrill Lynch in the firm’s Fort Worth, Tex. office, filed a class action lawsuit on Jun. 9 against Merrill in the Southern District of New York for unpaid overtime compensation.
A San Diego wealth management firm has launched a separate practice group staffed by women and targeted at women, specifically high-net-worth women over 45 who own their own businesses, are going through a divorce or have become widows.
