Practice management

Talk coffee, not college savings plans. That avoids potential compliance issues. Besides, visitors to social media sites are coming to learn about who you are, not what you sell.

After Ann Hughes took over a struggling annuities wirehouse division, she learned six lessons about loyalty and success that every financial advisor can apply to their practice.

Advisors should encourage their clients to take advantage of current gifting opportunities, now that individuals can give others cash gifts up to $13,000 tax-free.

Majority of workers surveyed plan to put off retirement until after 65, and then find retirement work.

Successful advisors have more efficient practices, they keep up to speed on products and trends, are better positioned to withstand uncertain markets, and they are better prepared to handle specific economic challenges like low interest rates, according to Cara Farchione, manager of retirement solutions for Raymond James.

Pending legislative decisions around the fiduciary requirement for all advisors is not a threatening issue, Raymond James Financial Services Chairman Dick Averitt told a packed general session at its National Conference for Professional Development on Monday.

The head of the Financial Industry Regulatory Authority said he’d like to see regular reviews of broker operations, to find and address potential conflicts of interest.

The chairman of the Commodity Futures Trading Commission says that excluding swaps between foreign branches of U.S. companies and offshore organizations is not an option. Now seeks comment how to apply Dodd-Frank swaps reforms abroad.

The big question following JPMorgan Chase & Co.'s now-notorious derivative trade is whether it would have been permitted under the so-called 'Volcker Rule.' But the answer is clear cut to an advocacy group that has led calls for regulatory restrictions after the 2008 crisis.

The Senate Banking Committee announced Thursday that it has invited JPMorgan Chase CEO Jamie Dimon to testify about the firm's $2 billion trading loss. A bank spokeswoman said Dimon has agreed to testify.

There are two types of independent financial advisors: the income statement entrepreneur and the balance sheet entrepreneur. Steve Sanduski asks: which one are you and why?

Advisors have the right and should be concerned about using social media. If you have someone in your corner, someone who knows social media and what life is like as an advisors, you should have confidence that you can execute a social media marketing strategy, gain brand awareness, cement relationships with existing clients and gain new ones that will be happy their advisor communicates with them in the medium they like.

The SEC has charged Seattle-area financial advisor, Mark Spangler, with defrauding clients by secretly investing $47.7 million in two start-up companies he co-founded.

The first-of-its-kind program for military veterans, which the St. Louis company is calling FORCES, features enhanced training and mentoring, and structured compensation packaged designed for veterans. It also meets federal requirements for on-the-job training under the G.I. Bill.

Requiring money market fund advisers to hold capital to support their money market funds would fundamentally change the nature of these funds, according to a new study by the Investment Company Institute released today.

There are a growing number of advisor-focused "value-added programs" that fund firms are using to attract top producing and other advisors to sell their wares to investors.

On YouTube, puppet shows are fine for consumers, but to appeal to businesses many banks are taking a more serious tone and putting their own clients in the spotlight.

Have advisors found a way to beat the system and achieve better search engine rankings?

Marketing expert Marie Swift explains how an automated process can help you create a conversation and keep the connection alive until your prospects are ready to wade into the water with you.

The hiring brings the total number of employees in the Wichita office to four.