Practice Management

When even H&R Block joins the wealth management fray, you know the competition for upper middle class and affluent investors is feverish. Everyone wants rich investors, and they want to manage all of their money. It's like what infamous Willie...

Setting up retirement plans for your business clients can be risky. Nevertheless, there's a recipe for protecting yourself from unpleasant surprises. In the past two decades, registered reps have helped business clients establish thousands of 401...

Seeking charismatic planners for financial road shows; audition required.

Firms now fear that they paid too much up front to recruit brokers during the bull market. They want the money back. What's a broker to do?

Putting CFP, CIMA, ChFC, AEP etc. after your name may not matter for the book you have, but it matters for the book you want.

Tax management and asset protection rank high on the list of services demanded by e-millionaires.

So, you've decided it's time to move up to a new professional designation. How do you go about it—and keep your day job?

...don't do the crime of lying to regulators.