Houston: “I’ve stopped making New Year’s resolutions a long time ago,” mused Allan following a Financial Advisor New Year’s Resolution speech I’d just delivered. “It became meaningless,&rdquo...
When she was at BofA, Sallie Krawcheck said that the breakaway movement hadn’t happened yet—that the top producers were still on Wall Street. She’s still saying that, and she’s still right...
This week FINRA’s Board of Directors authorized FINRA to seek comment on a proposed rule that would require firms to “include a readily apparent reference and link to BrokerCheck” on their websites. BrokerCheck is a...
With more wirehouse and regional advisors seeking greater independence, control, autonomy, superior economics, and the ability to customize the client service experience, independent models have been big winners. In fact, more independent models...
Getting up to speed on every client’s passion is practically impossible. Sure you glean some basic details—the name of their favorite sports team, or whether they raise orchids or roses. But imagine offering a sample of your latest...