Practice Management

If you shadowed Betsy Smith during a typical day at her Raymond James office, you'd probably have a tough time figuring out what she actually does.

Diane Strickland says she got her first job in the financial services industry because she knew how to handle rejection over the phone.

Kathy Albach doesn't take messages or transfer calls as much as she used to when she first started out as a sales assistant.

When the branch manager, operations manager, administrator and one of the sales assistants left a Bloomington, Minn., Smith Barney branch at the same time, Donna Klicka stepped up to the plate.

Rules for departing reps’ client communications.

Now that open enrollment season for health insurance policy elections is almost here, it's an opportune time to help small-business clients loosen the chokehold of exorbitant premiums.

SMA growth has slowed, a natural consequence of maturity.

When a regulator fails to mean what it says.

LPL Financial is paying the price today for failing to safeguard its customers’ personal information.

The logjam that for eight years has checked the pace of private trust company (PTC) creations will be dislodged when the Internal Revenue Service finalizes its proposed revenue ruling, perhaps as soon as the end of this year.1 Once it's gone...