Suppose that an unhappy investor didn't specifically name you in a lawsuit or arbitration when he complained about your investing advice. You'd think that would get you off the regulatory disclosure hook, right? Think again...
Rather than pushing change through as quickly as possible, get your employees involved and ask for their input. You'll have much greater success at making your changes work for you and your business.
Securities America is just the latest broker/dealer to face financial distress. With so many firms falling into financial or legal hot water lately, financial advisors need to be prepared for the worst. Here's a checklist for your Plan B.
Because so much of our coaching involves helping advisors acquire more affluent clients, we're constantly asked the question, What does it take to become a rainmaker? In an effort to learn more, we conducted a focus group with elite rainmakers (an...
It's the caliber of the student who gets into an Ivy League college, more than the academics or connections she makes, that is the better indicator of future success.
Passing ownership of the house to kids to shield it from being tapped for nursing home expenses is not always a good idea. Here's why, and some alternatives.
