Practice

Some brokerage firms are concerned that the tax overhaul could spur their employee advisors to set up their own shops or switch firms to lower their tax bills.

In a concession to the advisor, he can still respond to client emails and calls, even though he may not initiate contact.

Retirees should take advantage of their flexible schedule, which allows them to go on vacation during off season to save on costs.

The duo recommended an investment strategy that was overly concentrated in four speculative equity securities to more than 50 customers, FINRA alleged.

Regular meetings can yield honest client feedback and advice on nearly everything about your firm. But it’s not as easy as just asking a few people to join you for coffee.

Roughly 300 ex-NPH advisors have chosen smaller IBDs over LPL Financial after its massive acquisition.

When choosing their next employer, advisors resist a digital downgrade.

Digital advice is vulnerable to bait-and-switch and choice manipulation schemes.

Advisors worried about securing client data should learn how banks are developing a protected space for internet activity.

The industry has resisted the SEC’s Consolidated Audit Trail surveillance system ― dubbed CAT ― in its current form based on cybersecurity concerns.