Summit Equities sold 1,037 individual variable annuity contracts to its customers during the time period cited by Finra.
Tech companies dominate the list, taking eight of the top 10 spots
Transamerica introduces first voice recognition technology to authenticate customers.
The problem lies in who gets defined as a rogue broker.
Conduct exit interviews, stay positive and learn something when a client is just not that into you.
DOL fiduciary rule is having some impact, but advisers are still moving within the industry
In some cases, thoughtfulness is more important than quick actions when you're looking to expand.
Litigation over these agreements often favors the firm, but there are ways for advisers to protect their businesses.
The firm's independent broker-dealer is playing host to a possible record number of potential recruits at its annual meeting in Orlando, Fla., this week.
Teaching fundamental financial skills is not difficult; it simply requires a shift in perspective.
Four-person advisory group in Charleston, S.C., manages $178 million
Walter Marino allegedly profited from advising elderly clients to buy new contracts.
Industry veteran will start at Morgan in the third quarter
Next-generation financial planning community sponsors effort to find new tools for younger clients, advisers.
Tools to help find appealing prospects and automate marketing can be more effective at growing your book than adding staff.
First you log into your favorite social media platforms, then you give careful thought to what you want to share. But how much thought do you give when you are logging in, specifically, when you're typing in your passwords?
Four breakaways in Colorado Springs sign on with HighTower.
