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PRACTICE MANAGEMENT JAN 16, 2012
Working smarter: Build greater practice value through succession planning

As a financial adviser, you actively promote advanced planning to your clients to help them achieve their financial goals. As a business owner, it is just as important that you do the same by creating a succession plan for your practice.

PRACTICE MANAGEMENT JAN 16, 2012
Talking to clients about losing a loved one

RETIREMENT PLANNING JAN 12, 2012
ROI for RIAs

Technology is not just another expense item detracting from take-home pay and profit distributions. For top-performing Registered Investment Advisors (RIAs), it's viewed as a long-term investment that generates growth and higher profitability.

PRACTICE MANAGEMENT JAN 11, 2012
Does corporate loyalty still exist among advisers?

RETIREMENT PLANNING JAN 11, 2012
Helping retired clients prepare for health care costs

PRACTICE MANAGEMENT JAN 10, 2012
How to pitch small-business prospects

Looking to land small-biz clients? These prospects offer the best odds
PRACTICE MANAGEMENT JAN 10, 2012
Looking to land small-biz clients? These prospects offer the best odds

Surveys reveal women and younger bosses more apt to seek out financial help

PRACTICE MANAGEMENT JAN 10, 2012
How did Corzine receive a free pass from Finra on exams?

Making it to the top of Goldman Sachs brings wealth, prestige — and apparently a waiver from Finra from taking the broker exams it regularly requires of others in the securities industry

FINTECH JAN 09, 2012
Socialware to receive additional funding from CrunchFund, other investors

PRACTICE MANAGEMENT JAN 09, 2012
Cetera to move IRA custody in-house from Pershing

Cetera Financial Group informed financial advisers at two of its three brokerage units last Wednesday that it plans to bring custody of various IRA and savings accounts in-house at its third broker unit, PrimeVest Financial Services Inc.

FINTECH JAN 08, 2012
Teaching financial skills to clients' kids

Welcome to the New Year. The annual surge in gift giving and receiving — and returning — is behind us, which means that many of the children and grandchildren of your clients are sitting with more money than they had a month ago.

TD to work on work flows for third-party technology partners
RIAS JAN 06, 2012
TD to work on work flows for third-party technology partners

Deal with Actifi should help custodial unit speed up adviser work processes and improve efficiency

Ladenburg bonuses should ease retention headaches at SAI
PRACTICE MANAGEMENT JAN 06, 2012
Ladenburg bonuses should ease retention headaches at SAI

Buyer of Securities America offers carrot to the unit's brokers to entice them to stick; 'most of the advisers will stay put'

PRACTICE MANAGEMENT JAN 06, 2012
The rise and fall of Brookstreet's 'Uncle Stan'

He used to be known as the charming, affable “Uncle Stan” of Brookstreet Securities Inc., the independent broker-dealer he built. Now, he's facing charges of securities fraud.

Advisers blind to threat of direct investing, survey shows
PRACTICE MANAGEMENT JAN 05, 2012
Advisers blind to threat of direct investing, survey shows

Mostly unaware of money clients put into direct accounts; 'market is bigger than many people recognize'

Car salesmen miles ahead of advisers in consumer trust
PRACTICE MANAGEMENT JAN 05, 2012
Car salesmen miles ahead of advisers in consumer trust

Advice and investment industry lowest of the low in consumer faith, survey finds; banks not regarded much better

FINTECH JAN 05, 2012
Advent Software will get new CEO in June

PRACTICE MANAGEMENT JAN 03, 2012
A holiday poem — from a headhunter?

Twas the week after Christmas, with most of Wall Street away – Except perhaps Regions bank – Who is buying Morgan Keegan today?

PRACTICE MANAGEMENT JAN 01, 2012
Using portfolio reporting as your edge

RIAS JAN 01, 2012
Resolve to be a better adviser

While most of us are already well on our way to breaking our New Year's resolutions to lose weight, exercise more or declutter our desks, here are some ideas for resolutions that financial advisers might want to consider — and stick to — for 2012.