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FINRA passed new rules Thursday requiring broker-dealers to perform background checks on incoming brokers. But while most of the top firms already screen new recruits, the new rules could force out up to 5 percent of advisors with past issues...
Making financial planning a viable academic pursuit for undergraduates is meant to overcome one of the industry’s big obstacles: the fact that young people just don’t seem that interested in joining it. Consider that only 11 percent of...
As the hit series “Mad Men” begins its long goodbye, many diehard fans are already in mourning. Few characters have captivated audiences – and the financial services sector as a whole – like the charismatic but tragically...
Throughout our “deal” discussion it has been clear that my principal advice has focused on your ability to professionally take control of the process. Presenting yourself and your practice in a positive light takes a bit of effort on...
A recent WealthManagement.com article (“Is the CFP Board Losing Credibility in the Eyes of Advisors?,” April 11) does not provide an objective or balanced report on the attitudes of CFP professionals or CFP Board. The article seems to...
