Practice management

The rare move to set aside the regulator’s ruling came more than a decade after the rep ran into trouble by adding notes about his client into a software program.

Denika Tokunaga of Maven Wealth Management answered FP’s queries about challenges, opportunities and growing during the coronavirus.

"The game changed in 2020 and there’s a lot we have learned that can potentially skyrocket our success through 2021," writes Chip Munn.

The largest banks have cut compensation or held it steady for their top executives. Many regionals, though not all, are expected to make similar decisions as boards balance the desire to reward strong leadership during the pandemic with lackluster financial performance and public relations concerns.

The bank had nearly 270,000 employees at the end of last year.

Winging it during the pandemic, advisors came up with new ways to connect with clients and prospects. The best hacks are here to stay.

Those with the resources to sort through compliance thickets may be better positioned to take advantage of some long-awaited changes.

The quartet of financial advisors range in age from their 20s to their 90s, and are the second group to sign with Dynasty this week.

“It’s hard to make it mandatory. There are laws about that,” said Jamie Dimon, chief executive officer. “I think what we’d like to do is have carrots and sticks. We want people to take it.”

Career mobility and heightened client dependence are two unexpected by-products of extreme uncertainty, writes Jodi Perry.

With planners aging and the industry’s demographics still far out of step with the country’s, wealth managers are bulking up their support for new entrants.

The firm has 20 teams that cater to ultra-high-net-worth individuals in the Sunshine State, and has plans to double that over the next few years.

The growing practice’s founder dropped his FINRA registration after 14 years with KMS Financial Services.

Advisors can enhance strategies by recognizing set patterns of behavior during this period.

Blank-check companies are gaining prominence with celebrity sponsors, but costs can be opaque.

The wealth manager aims to build connections and take feedback through a new group resembling ones launched by rivals in recent years.

The dispute highlights the complicated nature of non-solicitation carve-outs when advisors switch firms.

It’s complicated, but possible, to limit risk and liability when moving a practice.

Advisors list the top books on finance or economics they’ve read recently.

Unexpected windfalls and limitations may accrue to WFH clients — and their financial planners.