Grace L. Williams

Sabina McCarthy's career at the wirehouse has involved maintaining close relationships for the long haul.

Clients expect their emails and texts to be responded to nearly instantly, says Earl Jefferson, founder of Texas-based advisory 7th Harvest Investments.

Using the right tools helps offer a good customer service, but there are other great benefits as well, says Klingman COO Michael Paley.

Using the right tools helps offer a good customer service, but there are other great benefits as well, says Klingman COO Michael Paley.

After being burned in a school experiment, a pre-med takes his interest in finance to the next level and becomes a financial adviser.

These entrepreneurs made the leap into finance from different places, but they share a common mission: robos for women, by women.

Firms should strike a balance between modernizing tools and maintaining client service, says Michael Paley, chief operating officer of Klingman & Associates.

An NYPD auxiliary police officer also works in wealth management.

Soon-to-be extinct strategies, facts and trends advisors should keep in mind when getting started on retirement and tax planning.

Soon-to-be extinct strategies, facts and trends advisors should keep in mind when working on retirement and tax planning.

Getting over the mental block toward adoption is part of the challenge in keeping your practice tech-savvy, says Eric Kies, chief compliance officer at Moline, Ill.-based The Planning Center.

Inspired by his football coach to consider planning, Raymond James complex manager Tony Barrett has focused on team success and the inclusion of African American advisors.

A willingness to learn and adopt technology when it was still considered a fad helped John DiCiaccio refine ways to use it effectively in his practice.

Two planners were barred from the industry for allegedly employing "deceptive, fraudulent and manipulative devices and schemes," while another had converted, or taken, funds from a client's estate and trust.

Some advisors have already found ways to harness client information for their practice in a very targeted fashion.

Advisors use Facebook, LinkedIn, Twitter; some companies formulate official policies.

Ambition and training helped one veteran advisor learn to adopt financial planning tools, account aggregation software, video conferencing apps and tablets in his effort to create "a new client experience."

The publishing window for Form U5 disclosures will now be three days instead of 15; Changes take effect on Dec. 12.

The recruit had $1 million in annual production before leaving the wirehouse.