Practice management

New Hispanic Market Certification Program launches this week to begin Hispanic Heritage Month.

Some 4,200 attendees have converged on Southern California for the third year of Ritholtz Wealth Management's annual outdoor "wealth festival."

A FINRA settlement accuses the firm of failing to supervise a broker who recommended frequent purchases and then resales of various investment products.

Former NFL star and UBS Head of Sports and Entertainment Adewale Ogunleye said professional athletes tend to prefer female advisors for whom "male ego" does not get in the way.

The "reverse churning" case highlights the regulatory gap investors can fall into when moving between brokerage and advisory relationships.

Advisors can guide clients on taxes, financing, buying versus leasing and how to boost their negotiating power.

The first rule of staying on the right side of the SEC's updated marketing rule: Involve compliance early and often.

Erin Reddick, founder of ChatBlackGPT, said advisors can use AI to make their firms more inclusive and diversify and grow their client base.

Within days of a colleague's retirement and having been introduced as their new advisor, Corbin Hoffner left for Raymond James.

It's key for an advisor to have a firm grasp of clients' long-term goals, how much they are spending now and how much they plan to spend in the future.