The settlement order against J.W. Cole Advisors is another in a line of actions brought against firms that failed to disclose the conflicts during the commission’s Share Class Selection Disclosure Initiative.

When it comes to big presentations, less is more—more personal, more authentic, more trustworthy, more real and more solution-based on what’s truly important to the prospect.

A Merrill Lynch research project finds different priorities and values among these demographic groups when it comes to wealth planning; for advisors, better understanding can lead to better client conversations. 


Remind clients that a Google search is no match for your years of ongoing education and hands-on experience.

Millennials are increasingly worried about not hitting their financial goals—and are turning to advisors for help.