Finding the right person to carry on the torch at your firm is difficult — if not downright impossible
The Jones family is in need of financial advice in a major way. InvestmentNews wants to know how you would advise this made-up 30-somethings couple, the first case study of a four-part series on lifestage investing.
Because financial products generally are sold and not bought, financial services companies traditionally have been great sales machines and lousy marketers.
Advisers are poised to expand their businesses this year — and are feeling good about their prospects — according to a new survey. What's more, most have high job satisfaction.
The Goldman Sachs Group Inc. is suing seven former employees of its private-wealth-management division who joined Credit Suisse Group AG for “pirating” the bank's clients and reps.
HighTower Advisors LLC chief Elliot Weissbluth last week shrugged off a “lift-out” lawsuit filed against the firm last month by Morgan Stanley Smith Barney, calling it baseless.
In an attempt to pull further away from the transactional nature of annuity sales, brokerage executives are using tools to help their financial advisers fit product sales into a planning context.
During a recent visit to a financial services firm, attorney and consultant Brian Hamburger came across an adviser who wasn't sending disclosure statements to clients.
Although the number of brokers who change jobs in 2010 won't approach the level seen during the financial crisis, expect this to be a good year for broker recruiting.
Morgan Keegan & Co Inc. has lost another arbitration case stemming from a blow up of its bond funds to a former professional athlete, this time liable to a former NBA all-star for $1.45 million in damages.
Instead of handing out charts and graphs to clients to explain their financial plans, adviser Gary Klaben provides “mind maps.”
If you would like to use an effective communications technique to win over prospects, retain your best clients and inspire trust, tell a story.
Registered representatives should be careful about mixing personal use of social-networking sites with business use, a Finra executive said today.
It is a very competitive market out there right now, with financial advisers offering a range of investment options and insurance products.
Don't miss an opportunity to communicate your service levels to clients and prospects.
You need to be prepared to reassure nervous clients with sound advice and analysis.
A bill has been introduced in the Washington state legislature that would double estate taxes for residents.
While practice management experts said advisers must maintain a fine line between finances and personal issues, it's not uncommon for advisers to forge close friendships with their clients.
