A financial advisor who seeks to manage the entire relationship and not just the investments will likely have a long lasting bond with both the client and their family members.

If your paycheck is wildly out of whack with your lifestyle, both your firm’s compliance department and regulators may come knocking. ...

The Financial Industry Regulatory Authority released on Wednesday new regulations aimed at enhancing investors' understanding of the impact of their broker changing firms and what that would mean to them...

Regulators are increasingly requesting a wider range of communication records from firms when conducting a regulatory exam. And while email is still by far the most commonly requested communication records, that is quickly changing, says Smarsh C...

Rep. French Hill (R-Ark.), a member of the House Financial Services Committee and a former broker, threw his support behind Financial Industry Regulatory Authority as the examiner of registered investment advisors, calling the self-regulator the ...

Needs salt. | Copyright Harry Kerr, Getty Images It can be reassuring when an investment manager has skin in the game—putting their own money into the fund they’re managing. Likewise, it is disconcerting to discover they pulled their money...

For many advisors, prospecting is an intimidating process that can take up both your time and money, without even a guarantee of a new client.

Networking events are like any other marketing activity, they work best when you ‘plan your work’ and then ’work your plan’.