Wealth Think

Every year FINRA sends hundreds of inquiries to firms that are not broker-dealers, including RIA firms, about suspicious trading. How you respond is critical.

Financial advisors sometimes puzzle over how to effectively reach and serve black and Hispanic clients. A Vanguard study released recently suggests they can start by drilling home a simple message: emergency savings accounts are a must.

Legacy expert attorneys Danielle and Andy Mayoras say even the most savvy and successful entrepreneurs are counting on their financial advisors to protect their life’s work and legacy after they’re gone. Are you up to the task?

This week, IRA expert Ed Slott answers investors’ questions about selecting a beneficiary and distribution rules for inherited IRAs.

Is the brokerage industry really the safer advisory alternative for consumers? Bob Veres is dubious.

Legacy expert attorneys Andy and Danielle Mayoras say your clients have names and reputations that will live on after they’re gone. The estate planning guidance you provide them now will ensure their legacy and wishes are protected for generations to come.

The surprisingly weak U.S. jobs report in March showed that the U.S. has not fully turned the corner on job growth. Non-farm payrolls rose by 120,000, the worst performance in more than a year. This slow recovery is not unexpected after a financial crisis, and there are many other bright spots in the economy. However, some argue that the unemployment numbers are actually worse than reported—an ongoing controversy not likely to be resolved in the near future.

It has always been important for advisors to build and manage their brand. But the proliferation and popularity of social media makes minding your online reputation more essential than ever.

Online and mobile social connectivity is now fully integrated into the modern way of life for your clients. If it is important to clients, it should be important to advisors, says Mike Langford, senior social business strategist at Socialware.

This week, IRA expert Ed Slott answers questions about IRA rollover rules and trustee-to-trustee transfers.