Consumer group calls on regulators to tighten scrutiny of the more than 50 designations in use
Finra yanks proposal that would have required reps to post link to database on their web sites, social media pages
United Capital develops color-coded cards corresponding to happiness, fear, commitment.
'Unprecedented' layoffs linked to Morgan Keegan deal.
Los Angeles-based runner says being an adviser helped: 'We made good decisions.'
Although many small businesses in the industry begin with a sole planner and maybe an administrative assistant, some expand far beyond.
Policy Architect will help advisory firms and broker-dealers keep policy manuals up to date, among other features.
Cross-selling may sound like a good idea, but lousy service can send customers packing
After several years of heavy cost cutting by advisory organizations, a small majority of 331 independent advisers surveyed by <i>InvestmentNews</i> — including both broker-dealers and registered investment advisers — plan to spend more on technology this year than last.
Providers make use of micro-booths to demo for advisers
Wirehouse advisers who switch to RIAs or indies enjoy a huge jump in compensation, a new study shows. But is the grass actually greener?
SEC's Walter warns that at smaller shops, compliance can fall between the cracks.
Despite tech tools, home workers lack camaraderie, ability to meet clients.
