Practice management

Instead of shifting all their assets to bonds and other safe investments, retired clients should keep some in high-quality dividend stocks; Also, clients should be self-centered when planning for retirement.

The U.S. Senator says she is, "concerned that these incentives present a conflict of interest for agents and financial advisors."

Adopting the skills of an anthropologist can empower advisors to help wealthy clients mend troubled family relations before it's too late.

David Paul Santos, a broker with Pioneer Bank in Troy, N.Y., was tricked by a hacker into wiring funds he shouldn't have—and ended up paying the price.

For advisors to really help their clients, they need to get them to truly understand investing odds and focus on process rather than outcomes, IMCA attendees were told.

The SEC is investigating whether the bank's Merrill Lynch unit broke rules designed to safeguard customer accounts, according to the Wall Street Journal.

Understanding generational differences plays a critical role in your ability to win new clients, from making initial contact to sealing the deal.

The online certification program uses academic insights to help advisors identify common misguided decisions investors make.

Collectively, the new recruits from Wells Fargo, Morgan Stanley and A.G. Edwards managed a total of $600 million in assets before joining the firm.

A recent coaching seminar has me recalibrating my understanding of practice management. You may need to adjust yours, too.

The secret to building a profitable business is attracting, serving and retaining a set of high-value clients. Use these ideas to make that happen.

Missing the deadline for enrollment brings a penalty of 10% of the Part B premium for every year not enrolled--and in some cases, it's for life.

The commission alleges that the advisor and his associates defrauded investors by concealing key information about unpaid debts in two rounds of securities offerings in farm loan ventures.

Three advisors were stripped of their CFP designations, 13 were suspended and seven were publicly admonished for technical infractions.

After 20 years with UBS, the nearly 40-year industry veteran will now head a Baird branch in the Midwest.

Financial advisors of all stripes have to adapt to evolving technology and increasing competition from online brokerages and other investment firms. Automation tools can help.

An advisor's move to HighTower sheds light on an issue that bedevils those making the transition: Whether to risk losing partners -- and possibly clients.

Retirement investors could post attractive returns amid high interest rates with high quality intermediate-term bonds: Plus, top mutual funds for 401(k) retirement savings.

Besides better plans, the personal financial portal of our planning software offers a number of benefits for clients.

The group was responsible for about $425 million in client assets.