The world of the brokerage office managers and their equivalent peers in the bank-based investment offices are similar in most respects but one: Happiness.
You have a client who participates in a defined benefit pension plan at work. She's near retirement, and needs to make a decision: take the money as a lump sum, or receive a monthly lifetime annuity-style payment? What advice should you give?
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The SEC decided to give a 70-year-old broker a break in a decision released today. Back in the late 1970s, at the start of his career, Robert Hardee Quarles got himself into trouble
There’s always a bit of anxiety in the air when financial advisors study for the rigorous Certified Financial Planner exam, but the version of the test that’s coming next week may be accompanied by more than the usual share of worrying.
The two co-founders of Advanced Equities, a Chicago-based venture capital investment bank, have received Wells notices from the Securities and Exchange Commission, according to FINRA filings.
With better performance, lower costs, and real human beings on call to give advice, direct investment platforms’ managed accounts are winning more $1 million clients.
Simon Property Group Inc. announced two major transactions for a combined $3.5 billion. The first deal gives the REIT a 28.7 percent stake in a major European retail owner. The second buys out its joint venture partner on the Mills portfolio...
You might call it luck, but getting up early, being at a high-end fitness center, and being prepared with a strong value proposition landed an initial meeting with an excellent prospect.
