Non-vested deferred compensation can be hard to leave behind. But it’s important to weigh the advantages of a sweet recruiting offer and a new firm against that pile of money at the end of the rainbow.
When you think of an options trading scam you generally don't think along the lines of booby-trapped pipe bombs preceded by 18 months of religious death threats, signed The Bishop
The same behavior that made “small” business owners wealthy—a yen for risk, strong self-confidence—are NOT the same ones that will keep them wealthy in retirement
Reps say the darndest things. When Registered Rep. asked a young wirehouse advisor whether he would consider joining an independent firm or launching his own RIA at some stage down the line, he said no. He explained, I like that I can get a pay...
Someone at 20th Century Fox has decided (wisely) it's time to bring Gordon Gekko back. In a sequel to 1987's Wall Street, Michael Douglas will again play the now aged corporate raider, fresh out of jail and resuming his machinations on a global...
Registered Rep.: You're a golfer. Best golf course in the Omaha area? Todd Feltz: Shadow Ridge Country Club. RR: Ever let a client beat you? TF: Plenty of times, but you have to be careful.
INSURANCE IN THE HOUSE Financial advisors and their small-business clients don't often look into the wealth-accumulation benefits of incorporating a captive insurance company (CIC) into their businesses, but they should.
As everyone knows, the SEC isn't going to fight the U.S. Court of Appeals vacating the broker/dealer exemption, allowing reps to act like registered investment advisors (fiduciaries), provided certain stipulations and etc.
