LPL Financial has agreed to pay a $275,000 penalty for violating customers' privacy, the Securities and Exchange Commission said Thursday.
The National Association of Insurance and Financial Advisors today announced its partnership with LIMRA International Inc. to provide NAIFA members with free access to a monthly “Market Awareness” web seminar.
The London Stock Exchange PLC halted trading for three and a half hours on Thursday because of a technical glitch that prevented some customers from connecting to its systems.
The key to capturing rollover from qualified savings plans is right in each adviser’s office — your own client list.
The latest version of Money-GuidePro focuses on flexible features designed to automate an adviser's initial meetings with clients.
Due to their longer life expectancies, woman should allocate much less to equities than advisers normally recommend, according to an academic paper.
Married wealthy women want to be treated as equal partners in terms of financial decisions when they meet with financial advisers, according to a study from Mintel International Group Ltd. released exclusively to <i>InvestmentNews</i>.
Remaining in the middle class has been especially tough for African-American and Hispanic families in this year's difficult economic times, according to financial advisers and a recent public-policy report.
The good news is that women trust financial advisers more than automobile mechanics. The bad news is that they trust advisers less than insurance agents.
Advisers who rely on blogs to communicate with their clients view the activity as a harmless, inexpensive technology.
MailBanc, a communications and compliance platform tailored for financial advisers has been relaunched this month.
Morgan Stanley Private Wealth Management has poached a team from fellow Lehman Brothers to serve high-net-worth American Indian clients.
Now that levels have been defined, you must communicate your new service levels to your clients.
Once considered the gold standard of web-based financial reporting technology, EDGAR, the Securities and Exchange Commission's long-serving form-based corporate filing system, is to be replaced.
It’s not often a really cool social networking site just for financial advisers comes along.
Last week: We created a “platinum” service level for your top clients and now it is time to plan for your lower-tiered clients.
Scott Barkow, an adviser with Raymond James & Associates Inc. of St. Petersburg, Fla., isn't happy about the challenging economy and how it could hurt new business.
Financial Computer Support Inc. makes the dbCAMS portfolio management software used by thousands of advisers.
A federal judge has approved Citigroup Inc.'s $33 million class action settlement with female brokers.
Incomplete codes of ethics and codes of ethics that aren't followed were cited as two common problems found by Securities and Exchange Commission examiners at investment advisory firms.
