Practice and client management

After joining Raymond James last year, Lynette Ancona contends she was virtually forced out of Schwab by a branch manager who tended to favor "younger, male" colleagues.

Four experts say that video training and giving the TLDR versions can go a long way to securing and keeping clients confident and engaged.

A unit of the bank bought by UBS in 2023 pleaded guilty to conspiring to help its customers hide more than $4 billion from the Internal Revenue Service in at least 475 offshore accounts

Check out a compliance expert's emoji-onally intelligent tips for decoding the omnipresent icons. (Hint: context is 🔑.)

In speeches at the CFA Institute LIVE conference, experts pointed to the importance of financial advisors and other industry experts in the present circumstances.

The inaugural "Wealthtender Voice of the Client Study" found that 89% of client reviews focus on relationships and emotional trust, while only 10% were focused on investment management.

Shrinking fees and expanded service offerings are squeezing financial advisors. Cerulli research says the problem will only grow over the coming year.

Certified financial planners will pay an additional $120 a year for the CFP designation, starting in October. The CFP board said the fee hike will help fund expanded advertising efforts.

The firm characterizes the cause examination, a procedure that typically originates from a customer complaint, as a routine matter.

Advisor and women in wealth advocate Cary Carbonaro charts her struggle for respect and pay parity after a buyout by a big investment bank.