Professional development

Wealth management firms will retain employees when they offer flexibility, not just one-off perks.

More than 245,000 people were registered for the June exam as part of the three-level program to earn a credential from the most challenging test in finance.

You might consider an assistant, paraplanner or even another full-fledged advisor. I won’t debate the importance of these roles, but I would like to offer an alternative for your consideration.

Finding the right collaborator changed my life.

This three-tiered model may help.

Venture capitalist and In|Vest Conference Chair Sebastian Dovey says in a new episode of Financial Planning’s podcast that the industry is “No. 1 for playing ourselves down” and “saying that we’re bad” at technology.

I don't need outside credentials to bolster my credibility — I have my own.

In the first episode of Financial Planning's new podcast series, Tobias Salinger talks with advisor Dasarte Yarnway about how he “fought and clawed” his way into the profession and discusses the ambitious goals he’s working toward for his RIA, as well as the industry.

The firm typically trains its own advisors in lieu of recruiting talent from the competition.

A succession strategy doesn't have to be set in stone, writes columnist Carolyn McClanahan.

These shortcomings were primarily due to “systemic, longstanding, governance-level weaknesses,” a new report says.

Do planners offer enough value to keep tech companies and automated advice at bay?

As individual performers, these people can be very good at what they do. They may have great technical or sales skills but they can sap the spirit and energy out of your firm.

As this firm founder took stock, he realized his needs had changed over time.

Bruce K. Lee left the brokerage world where cheating on continuing education requirements can be a "career killer."

I had a strong opinion. Then our reporting changed my mind.

At best, the variety increases awareness of what the career can offer. At worst, it lends ammunition to critics who insist the profession isn't a profession at all.

The regulator is doing more with less but also missing its own goals around how long an investigation takes to result in an enforcement case.

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