Many financial advisers who attended the Technology Tools for Today conference last week are looking to squeeze as much money as they can from their precious technology budgets.
In an attempt to pull further away from the transactional nature of annuity sales, brokerage executives are using tools to help their financial advisers fit product sales into a planning context.
During a recent visit to a financial services firm, attorney and consultant Brian Hamburger came across an adviser who wasn't sending disclosure statements to clients.
An Indian man has pleaded guilty to participating in a scheme to access online brokerage accounts to jack up stock prices and reap thousands of dollars in illegal profits.
Although the number of brokers who change jobs in 2010 won't approach the level seen during the financial crisis, expect this to be a good year for broker recruiting.
Morgan Keegan & Co Inc. has lost another arbitration case stemming from a blow up of its bond funds to a former professional athlete, this time liable to a former NBA all-star for $1.45 million in damages.
The top-down macroeconomic themes all tilt in favor of globally diversified cash-rich companies, according to Karl O. Mills, president and chief investment officer at Jurika Mills & Keifer LLC.
Instead of handing out charts and graphs to clients to explain their financial plans, adviser Gary Klaben provides “mind maps.”
Roland Greco, an adviser, recently wrote me for assistance in dealing with the mountains of paper in his office.
If you would like to use an effective communications technique to win over prospects, retain your best clients and inspire trust, tell a story.
Registered representatives should be careful about mixing personal use of social-networking sites with business use, a Finra executive said today.
It is a very competitive market out there right now, with financial advisers offering a range of investment options and insurance products.
Don't miss an opportunity to communicate your service levels to clients and prospects.
You need to be prepared to reassure nervous clients with sound advice and analysis.
A bill has been introduced in the Washington state legislature that would double estate taxes for residents.
Financial advisers are scratching their heads as they try to decipher the compliance and regulatory ramifications of a privacy fiasco with Google's Buzz.
While practice management experts said advisers must maintain a fine line between finances and personal issues, it's not uncommon for advisers to forge close friendships with their clients.
Ken Kaltman, chief operating officer at National Compliance Services, Inc. in Delray Beach, Fla., will soon have a lasting memento of his $15,000 donation to the Clinton Bush Haiti Fund. He'll be the proud owner of the wingback chairs that both former presidents actually sat in for their “debate” at the TD Ameritrade conference earlier this month.
