Just like some home sellers who resort to a fresh coat of paint to enhance their home's “curb appeal,” financial advisers can take steps to help their practices sell faster and for a higher price.
A $500 million-plus team in Eugene, Ore., has left Morgan Stanley Smith Barney LLC to set up as an independent advisory firm — but not without a legal challenge by MSSB.
With the launch of WealthOne, National Planning Holdings Inc.'s network of four broker-dealers has a major new set of tools at its disposal.
This year, while I was organizing a mission trip to Mississippi for teens and adults, I sent out weekly e-mails with up-dates on our travel plans.
If Don Whalen had to make an elevator speech about his product, he would probably describe PreciseFP as an online universal client data entry form.
The firm named both Ray Schuville and George Jenckes private client advisers and Josh Glazer private client manager.
When it comes to dealing with wholesalers, financial advisers prefer phone or online conversations over face-to-face meetings.
Morgan Stanley Smith Barney LLC has lost a $3 million producing team of veteran Smith Barney brokers to rival J.P. Morgan Securities LLC.
The suit is one of several arising between Edwards and its successor firms and Stifel as a number of Edwards brokers deserted ship in the wake of the 2007 takeover of Edwards by Wachovia Securities LLC.
Mark Palmer, a Charles Schwab & Co. Inc. executive, today was named national sales manager at Cetera Financial Group, the broker-dealer network owned by private-equity firm Lightyear Capital LLC.
This may sound strange coming from someone in the information business, but I am worried that we are overdosing on information.
Steve Jones and Seth Gunderson have formed Tenacity Investment Group in Longmont, Colo.
The cost of liability insurance is expected to increase up to 20% at some broker-dealers in response to rising arbitration claims by investors after the market crash.
Schwab survey also uncovers drop in margins, slowdown in number of new clients
Inability to meet Finra's net- capital requirements will force more small and independent broker- dealers to shut down this year.
Highly rated financial advisers talk about what got them to the top of the heap
One in four considering yanking funds from current adviser; more frequent contact craved
For advisers, having too few clients can be a dire situation. On the other hand, having too many clients comes with its own traps, snares and pitfalls.
