Industry

Firms are required to verify their procedures are reasonable, but they also must tailor their supervision to individual advisors, and sometimes that means crafting higher level of oversight for some people.

Many planners see this exam as a must-have credential. Want to ace it? Have a plan.

Selling printer cartridges at age 16, Umesh Trikha took home more than just a paycheck.

Financial planners typically frame their services in the broadest terms possible, but targeting niche markets, like architects, may be a better move.

What should advisors expect from the upcoming regulation?

Knowing how to price your services may seem like a dark art, but a few simple calculations yield revealing answers.

The platform provider is pushing the concept hard, but early reviews are mixed.

Independent Financial Partners’ CEO predicts the firm will retain about 80% of its business, despite a daunting series of challenges.

“If you’re not given an avenue to prove yourself, then effort and skill set will only go so far,” Shannon Saccocia says.

There are three top specialties that survey takers said they want when choosing a new financial planner, with one clear winner.