Financial adviser Steven Mait was making a left turn in his Coral Springs, Fla., neighborhood last year when a convicted drug offender, driving under the influence of cocaine, oxycodone, morphine and five other drugs slammed into his car and ended his life.
JPMorgan Chase & Co. had a big third quarter, with profits spiking by 23% -- but it also appears to have had a successful quarter, and year, recruiting financial advisers.
The soft market for advisory businesses is revealing an old verity: A founder's best successor is often a junior adviser who has been elevated to partner.
Tool will help ETF providers to focus their marketing and educational materials on the needs of advisers.
Whether they admit to it or not, lots of fellow independent broker-dealers and probably thousands of registered reps are going to monitor how a new social media pilot progresses at Cambridge Investment Research Inc.
In his latest letter to Berkshire Hathaway shareholders, Warren Buffett says directors and officers -- and not shareholders -- should take the hit for reckless investments.
The confirmation a year ago of the first Hispanic Supreme Court justice, following the election of the first black president, has signaled for many people a growing appreciation of racial diversity and inclusiveness in the United States.
If Don Whalen had to make an elevator speech about his product, he would probably describe PreciseFP as a universal online form for client data entry.
Financial planners seeking formal certification will soon be tested not just on what they know — but on ethical questions and their ability to potentially communicate with clients.
While the graying of the advisory industry creates the risk of having too few reps to meet the demand of aging boomers, it's a big opportunity for younger advisers eager to build their businesses.
The process and discipline of financial planning can provide the bedrock for the future financial stability of individuals and families in America.
More than 600 firms now on platform; rival products from Schwab, TD on the way
The creators of PreciseFP, a slick-looking online client questionnaire used by financial advisers, today announced integrations with two popular programs.
What to do while waiting for the participant advice rule to be finalized.
Your wealthy 85-year-old client has spent his life assembling a multimillion-dollar collection of rare <i>objets d'art</i>. He's also got a wine cellar full of Chateau Mouton Rothschild and a set of rare pool cues.
Many wealth managers get into the business with confidence and high hopes, envisioning that intelligence, ambition and devoted customer service will prevail.
As Congress heads toward its summer recess, it looks unlikely that legislators will make progress any time soon on the estate tax. That leaves financial planners and their clients in the lurch.
