Bank Channel

The most important consideration when changing firms is not to tell anyone, other than your spouse, business coach or consultant. An advisor should never mention a move being contemplated.

Becoming a top producer and a respected professional isn’t an endpoint, it's a process. And successful advisors, who are always thinking five years ahead, have a definite plan to get there.

There aren’t enough hours in the day to get everything done, and it’s easy to get distracted by all the things that come up unexpectedly during the day. But successful FAs are able to minimize distractions and focus on critical tasks.

Never sell your clients on your institution. You should be the face of the organization to them, says career consultant Rick Rummage. He talks to Editor Lee Conrad about that and other tips on how advisers should resign.

The violations ranged from the improper reuse of signed customer forms to the execution of discretionary transactions without written authorization.

The regional bank is looking to broaden its wealth management offerings and recruit additional financial advisers.

Collectively the four firms provided market access to numerous clients that executed millions of trades per day.

The new hire is part of the bank's push to expand the wealth management business.

The bank’s attorney who mistakenly released reams of sensitive data about wealthy clients asked a judge to order the records returned and not to be spread any further.

The rep claimed the firm misled him when they recruited him from PNC Bank.