Practice management

It is a common practice for doctors and attorneys to dictate their notes following an appointment, thus creating a digital record for future reference. Financial advisors should be doing the same thing

It is a common practice for doctors and attorneys to dictate their notes following an appointment, thus creating a digital record for future reference. Financial advisors should be doing the same thing.

Solo advisor Dave Grant has been experimenting with Facebook ads for his recently launched practice. Here are some of the lessons he's learned.

Over the next 12 months, it plans to open four more wealth management centers, possibly outside its current footprint.

Edward Jones’s James Weddle and Robert Keenan of St. Bernard Financial Services Inc. were elected to the Financial Industry Regulatory Authority’s Board of Governors at its annual meeting.

There are plenty of myths about women and money and it's important to bust these myths wide open. But people also have misconceptions about men and money. Here are just a few.

After a strong response to our summer reading list for advisors, we decided to expand it. Here are the 20 books that financial advisors said -- via Twitter, LinkedIn, emails and phone calls -- were crucial to their practices.

UBS AG will pay almost $50 million to settle U.S. Securities and Exchange Commission claims that a brokerage unit violated securities laws in the structuring and marketing of a collateralized debt obligation.

In recent months more than a dozen senior officials have left the agency, including its chief of staff, Garry Reeder, and chief operating officer, Victor Prince.

A FINRA panel has ordered Citigroup and a former branch manager to pay a combined $11 million in remuneration.

Ascent Private Capital Management has hired four managing directors, each supported by a national advisory team of more than 30 wealth experts.

The CFP Board is hosting a webinar on "how to avoid misleading compensation disclosures" -- the very issue at the heart of the board's public sanction of former CFP Board Chairman Alan Goldfarb.

Do other planners or professional colleagues know your ideal client profile? You may be missing out on business if they don’t know who to refer to you, says new solo advisor Dave Grant.

U.S. District Judge Ellen Segal Huvelle said the case was "not ripe for review" because the bank and others could not prove financial injury resulting from the new law.

One of the leading contenders to be the next chairman of the Federal Reserve, Lawrence Summers, has been a paid consultant to Citigroup and other financial institutions. Opponents of his nomination are sure to seize upon this.

Research conducted by ING U.S. underscores the growing role that retirement income planning continues to play in the readiness levels of working Americans.

The government should strip U.S. stock exchanges of the legal status that protects them from most lawsuits, a trade group for brokers said.

Barclays Plc is joining Citigroup Inc. and UBS AG in targeting millionaire clients in Africa as the continent’s fastest-growing economies swell a rich list topped by billionaires Aliko Dangote and Johann Rupert.

Former U.S. Senate aides Michael Piwowar and Kara M. Stein won confirmation as members of the Securities and Exchange Commission. The current SEC chairman Mary Jo White was also confirmed to a full term that expires June 5, 2019.

Some technology challenges come even after you've made your software decisions. Recently, new soloist Dave Grant has been struggling with his CRM system.