Practice

Are your prospecting events getting the results you want? Here are a few common mistakes that advisors seem to make.

While many financial advisors would prefer to have someone within their practice take over upon retirement, not enough are prepared for the internal succession planning process, according to one industry consultant.

What makes top advisors different from everyone else? "They go deeper," says one practice management expert.

Steward Partners Global Advisory has added Hy Saporta, a former Citigroup executive, as chief operating officer, managing director and founding partner to help the firm gear up for growth.

The censure decisions are the result of reviews by the Board's Disciplinary and Ethics Commission, which meets three times a year.

Advisors need to spend more time helping clients plan for long-term care and inheritance allocations before problems arise, says one advisor and author.

A former head of commercial real estate at Wilmington Trust was charged with bank fraud, bribery and money laundering, the Office of the Special Inspector General for the Troubled Asset Relief Program announced Friday.

The highest-performing firms identified in Fidelity's RIA benchmarking study focused on 'smart technology and adoption versus chasing the latest and greatest tech products.'

From suitability and complex products to cyber-security and data integrity, where do broker-dealers start? Here's an overview of some of the areas that FINRA or SEC examinations will likely focus on at firms in the coming year.

It's time to quit recycling your goals and focus on what's relevant to your practice, says one practice management coach. Here are four goals advisors should be setting, but often don't.