“The SEC is unable to hold bad actors accountable through most enforcement actions, preventing harmed investors from obtaining relief,” said Waters, chairwoman of the House Committee on Financial Services.
Clients' kids want to meet with their parents' financial advisor, yet only 3 percent do so regularly, according to a recent Wells Fargo Private Bank survey. Whose fault is that?
Advisors should foster relationships with CPAs all year long.
Finding himself in thousands of dollars of debt, this financial advisor finally started taking his own advice.
When the government reopens, a new House rule could raise the hurdle for legislation meant to encourage retirement savings.
Kathleen Rehl knows how to relate to and work with widows because she is one herself.
Many firms are de-emphasizing soft skills in favor of tech skills, but technical prowess alone can never replace the personal touch of a great advisor.
