Practice management

For pre-retirees who have not saved quite enough it's especially important to establish a plan to pay off credit card debt; Plus, proposals to improve workers' access to retirement plans first need a unified contribution limit.

Many potential clients don't understand how a good advisor can help them meet their financial goals. These key questions can lay a foundation for a relationship.

The investment industry has an age discrimination problem, and millennials and Generation X are bearing the brunt of it.

An upcoming forum for regulators and industry professionals will discuss the SEC’s compliance oversight, cybersecurity, anti-money laundering, and approaches to supervision and sales practices.

The Department of Housing and Urban Development has revamped the rules on reverse mortgages to allow the servicer to foreclose the home mortgage if the account holder dies and the home is left to a non-borrowing spouse; Plus, five ways to talk to parents about their retirement income.

Competitors from traditional and digital sectors of wealth management weighed in on the debate over industry disruption at the LinkedIn FinanceConnect conference in New York.

Wells Fargo and other banks are testing the use of mobile devices to authenticate consumers in the drive-through lane. The pilot, designed to expedite service and improve security, serves as the latest example of a growing trend: preordering banking services via digital devices.

The regional broker-dealer landed a former business director from Lifetime Financial Growth, who also worked for Merrill Lynch and Lehman brothers.

Walter Bettinger argues robos might work for "a very small percentage of people," but not for the overwhelming majority of the investing community.

The common experiences of this younger generation makes them a different type of client than the traditional U.S. investors.

Failing to arbitrate disputes that arise out of an advisor’s employment activities can result in costly penalties.

More pre-retirees intend to spend all their savings and leave nothing to their children than those who save as much as they can to pass on to the next generation; Plus, retirement saving rules that just don't add up.

If you're pinning your success to an arbitrary AUM level, you've got a problem. Here's what firms seeking long-term success should concentrate on instead.

Envestnet's acquisition of Finance Logix marks the latest in a string of big firms snapping up advisor-focused technology providers.

The SEC and other regulators are seeking information about the bank's use of proprietary products in its wealth management business, the company disclosed in a regulatory filing.

Andrew Parish, publisher of the wealth management gossip site, admitted he failed to pay more than $341,000 in employment taxes for his recruiting business, Axiom Consulting Group.

Clients who want to roll over their spouses' IRA into their names can only do so if their spouses die and if they are properly named as beneficiaries; Plus, how to avoid running out of money in retirement.

You're a financial advisor, not a doctor, but if you're advising older clients, you need to be able to spot cognitive declines.

Two advisors that produced $2.15 million in annual revenue joined Raymond James Financial Services, the firm's independent broker-dealer.

Cognitive and health issues can make meeting with older clients more difficult. Here are some tips to help advisors break down communication barriers.