Subject Root Tag

A unified standard seems to be in the offing and many bank advisors will have to start working at a higher level.

Firm-wide performance benchmarking is a powerful tool, but fails to give advisors the data they want most.

Our legal expert discusses how to deal with FINRA investigation.

Customize your approach to other types of professionals to increase your chances of getting referrals.

The conversation about millennials' retirement is just beginning.

An aging population has forged new partnerships between wealth advisors and health care planners.

A majority of wealthy clients say they are holding onto cash even as confidence improves.

Judd Gregg, the Securities Industry and Financial Markets Association's CEO, discusses what still needs to be done to restore investor confidence in the financial markets.

Preparation and communication are key to a smooth visit with FINRA.

At the recent FINRA conference, SEC Commissioner Elisse Walter endorsed advisor "gold standard."

New draft proposal is part of a House movement to reign in the legislation.

Investors yearning for income and fearing rising interest rates are clamoring for loan funds.

Wes Long, executive vice president and head of the private client services group at Wedbush Securities discusses his 23 years in the securities business.

A run-down of the stories in this issue, including a discussion of 529 college savings plans and whether they are being used for the wrong reasons.

The tax-advantaged plan was supposed to help average Americans save for their children's college education. Today, advisors are increasingly recommending them as an estate planning tool for the wealthy.

Readings show a modest lift in client optimism but a drop in retirement activity.

The FPA's president says advisors of all ages should be thinking about the next chapter of their careers.

Two new services allow advisors to deliver online content to clients and prospects via social networks.

Advisors considering a change of venue need a game plan and a clear sense of who 'owns' their client relationships.

Lenox Wealth Management thrives on its strong ties to Procter & Gamble's top management.