It isn't cheap or easy, but for many financial advisors a radio show is an invaluable prospecting tool.

Charlotte Beyer has been a trailblazer in the wealth management business before the phrase “wealth management” was even being used. In 1991, the then 43-year-old financial services executive founded the Institute for Private Investors as a peer...

Compliance conundrums are growing in the minds of financial advisors mulling independence. An Aite Group survey last spring found that 53 percent saw compliance as extremely challenging or very challenging to independence, compared to just 38...

If I were Dr. Phil prescribing a treatment for advisor morale, it would be simple — commit yourself to becoming elite.

In November 2009, Dr. Donald Steinberg filed an arbitration claim with the Financial Industry Regulatory Authority alleging a whole host of sins against Morgan Stanley Smith Barney, Citigroup Global Markets Inc. and a broker. Foremost among...

Times of crisis separate elite advisors from the masses.

Another round in the highly politicized battle over who will oversee investment advisers is brewing. The House of Representatives plans to hold a hearing on Sept. 13 on provisions of Dodd-Frank that govern the regulation of broker/dealers and inv...