Subject Root Tag

For clients who want retirement income with minimal equity risk, advisors should recognize the 'mortality credit' advantage that the pooled funds in an immediate annuity can offer.

The online certification program uses academic insights to help advisors identify common misguided decisions investors make.

Collectively, the new recruits from Wells Fargo, Morgan Stanley and A.G. Edwards managed a total of $600 million in assets before joining the firm.

A recent coaching seminar has me recalibrating my understanding of practice management. You may need to adjust yours, too.

The secret to building a profitable business is attracting, serving and retaining a set of high-value clients. Use these ideas to make that happen.

Missing the deadline for enrollment brings a penalty of 10% of the Part B premium for every year not enrolled--and in some cases, it's for life.

To illustrate where our BIC Top 50 advisors work and live, here are the top states based on the number of our ranked bank reps.

The commission alleges that the advisor and his associates defrauded investors by concealing key information about unpaid debts in two rounds of securities offerings in farm loan ventures.

These leaders are finding it more difficult to keep a balance between advisors and their firms.

Three advisors were stripped of their CFP designations, 13 were suspended and seven were publicly admonished for technical infractions.

After 20 years with UBS, the nearly 40-year industry veteran will now head a Baird branch in the Midwest.

Financial advisors are just as critical about what they deem is a good company website and an increasing percentage will make decisions about whether to engage and choose product offerings based on a site's quality and ease of navigation.

While U.S. stocks have spent long stretches of the past six years rallying without the help of fresh mutual fund money, Bank of America and Exane BNP Paribas say the withdrawals show rising concern as the Federal Reserve weighs raising interest rates.

By taking a "glass half-empty" approach on the fiduciary issue, regulators are doing investors and advisors a disservice.

The IRS follows the federal law in viewing marijuana businesses as illegal for tax purposes. This creates a number of tax issues for representing these clients.

Even if you think you're ready to find a successor, make sure you've taken these three steps to pull back and prepare for a sale.

Financial advisors of all stripes have to adapt to evolving technology and increasing competition from online brokerages and other investment firms. Automation tools can help.

An advisor's move to HighTower sheds light on an issue that bedevils those making the transition: Whether to risk losing partners -- and possibly clients.

Retirement investors could post attractive returns amid high interest rates with high quality intermediate-term bonds: Plus, top mutual funds for 401(k) retirement savings.

The recruit oversaw $160 million in client assets while at Merrill, according to a UBS spokesman.