Practice management

The 37-year veteran advisor’s settlement with FINRA is the latest phase of a two-year saga involving a father-son team at an Indiana practice.

Could high-fashion collectibles be an asset class that lets advisors connect with millennial clients? Sneaker enthusiast Andrew Shilling thinks it’s possible.

How Signature Wealth CEO Chip Munn says he got an eight times return on his marketing investment in four months (without paying for ads).

After the Schwab-TD merger, rival firms are re-thinking the settlement process, testing new pricing models, and improving advisor efficiency and service. Is David sprinting past Goliath?

The change will affect continuing education immediately and certification examinations starting in March 2022.

The changes mark a new phase in the tug-of-war between the structures.

Keith Beverly, one of a handful of Black CFP-CFA holders, is pushing to mint more.

With clients showing signs of anxiety during the pandemic, Kimberly Foss writes, now is the time to remind them why they came to us in the first place.

In new academic research, experiments involving selections of YouTube videos shed light on the psychology of conflicts of interest.

Staffing and compensating a financial planning practice starts with the right model.