Practice management

From bank tellers to senior management and bank owners, Fremont Bank's Susan Lyle and Adam Nieto make the elusive idea of cross-selling a reality.

Our legal expert explains how to keep a Series 7 license fresh after moving from a broker-dealer.

Deploy a strategy that runs itself and thrills your clients, allowing you to provide better service with less effort.

What advisors can still do to protect business owners' assets even though last year is gone.

Preparing your clients for the tax plan ultimately agreed upon in Washington.

A run-down of the stories in this issue, including a look at who will influence the wealth industry in 2013 and what the financial markets will hold.

Many firms have enlisted former military personnel to beef up their employee ranks.

A modest AUM tax could make financial planning available to all American families.

Successful planning organizations almost always take a collaborative team approach, building on the complementary skills of members.

The U.S. House of Representatives doesn’t plan any votes on the federal budget tonight, meaning that Congress for now will fail to avert $600 billion in tax increases and spending cuts set to start at midnight.

Senate Minority Leader Mitch McConnell said lawmakers in Congress are “very, very close” to a deal to avert $600 billion in tax increases and spending cuts set to start at midnight.

Advisors naively believe that only 17% of their clients hold a direct account when in fact 74% do, according to a new report from Boston-based research firm Cerulli Associates.

The White House and congressional negotiators agreed to contours of a budget deal including tax cut extensions, with the remaining sticking point being how to avert automatic federal spending cuts, said an official familiar with the talks.

Senate Majority Leader Harry Reid said he’s hopeful negotiators can reach a last-minute U.S. budget deal that would protect all but top earners from a tax increase.

Negotiators made progress overnight as they tried to reach a last-minute U.S. budget deal that would let income taxes go up on some top earners.

Over the coming year, financial regulators are expected to press ahead with scores of rulemaking proceedings that will affect advisors and their clients. Lawmakers will continue to refine and implement numerous provisions of the Dodd-Frank financial reform bill, while mulling the possibility of expanding oversight of investment advisors.

How many times have we said to ourselves, “If I’d only known then what I know now?” At this year’s Securities America Assistant University, a panel of experienced advisor assistants shared the benefit of hindsight and the top things they wish they had known in their first year as an assistant.

With little more than a day remaining to avert tax increases for almost every U.S. worker and to halt federal spending cuts, Senate Majority Leader Harry Reid and Minority Leader Mitch McConnell worked to bridge gaps over income tax rates, the estate tax and other issues.

As we head into 2013, most of us have made some personal resolutions, but what about your practice?

President Barack Obama made a last- minute appeal for compromise as three senators said the chances were greater than 50-50 for a deal to avert more than $600 billion in tax increases and spending cuts scheduled to take effect Jan. 1. In an interview broadcast Sunday on NBC’s “Meet the Press,” Obama warned of “an adverse reaction in the markets” if Congress doesn’t act.