Ms. Katz was given the lifetime achievement award Wednesday, while 20 other female financial advisers and leaders of the industry were celebrated as Women to Watch.
Broker-dealer groups endorse the change, saying it would put them on a level playing field with investment advisers.
Treasury market brokerage buys asset management, family office units outright.
Three new portfolios from Motif Investing promise to refund a monthly subscription fee for underperformance
If we continually educate our clients, we can help them become more aware.
Merrill brokers will join a veteran Janney team in New York City
Frank H. Black and his firm, Southeast Investments N.C. Inc., failed to retain business-related emails and to achieve compliance with applicable securities laws, according to the Finra panel's decision.
The regulator's acting chairman says he prefers that agency employees conduct exams.<a href="http://www.investmentnews.com/article/20170306/FREE/170309954/sec-enforcement-unit-bracing-for-budget-cuts-under-trump" style="color:#b10816" target="_blank">​ <i><b>(More: SEC enforcement unit bracing for budget cuts under Trump)</b></i></a>
Clinging to language steeped in jargon and generalities can seriously limit growth.
Some affiliates say the firm is competing against them for recruits.
We have a responsibility to help strengthen our community wherever we can, and help it prepare to thrive in the years ahead.
The incident introduces yet another example of how not to use social media.
Delaying a capital investment could result in falling behind the competition in future years
It's one thing to target this market. It's another to be able to serve it capably.
More than 20 claimants initially sought $8.8 million in damages and costs after a Morgan Keegan adviser allegedly misappropriated their funds.
Letting clients help direct practice management decisions can have many upsides.
Inbound marketing involves creating an impactful website, attracting interest to that site and building trust with visitors to inspire them to become clients.
The firms and advisers that are able to embrace the shift from a sales culture to one comprised of goals-based planning will thrive.
Even though the fiduciary rule's future is in doubt, wirehouses are downsizing the bonuses they are offering veteran brokers to jump ship.
