Sep 15, 2015

FINRA's sanctions announced Tuesday serve as a cautionary tale for firms who hire reps from high-risk firms.

Sep 14, 2015

The Financial Industry Regulatory Authority is proposing to reduce the wait time to publish details of advisor terminations and investigations on its BrokerCheck system. ...

Seven Ways to Help Your Client Prepare For a Divorce

Sep 14, 2015

Marilyn Chinitz and Lois Liberman are Partners and matrimonial attorneys at Blank Rome LLP in New York. Marilyn is a litigator focusing on family law, with particular emphasis on complex divorce actions. Lois is a litigator and trial attorney...

Traditional Marketing Tactics That Consistently Add Value for Independent Advisors

Sep 09, 2015

Rumors of the death of traditional marketing have been greatly exaggerated by many industry observers.

6 Ways Millennial Investors Are Different

Sep 09, 2015

Millennials would do well to rein in a natural tendency to believe they’ll meet their goals simply because they identified what they want to do.

5 Tips for Small Market Prospecting

Sep 09, 2015

Think about your small market as an opportunity, rather than a hindrance. Your goal should be to dominate the local competition.

Breaking the Barriers of Estate Planning Fatigue

Sep 08, 2015

Build a better relationship with your clients and their descendants

When Advisors Have Advisors

Sep 08, 2015

Mutual advantages accrue when advisors enter into fee relationships with other advisors.