The regulatory attorney and chairman of the Securities Practice Group gave a typically candid speech about SEC exams at the Raymond James Wealth Managers Conference.
Service members could use more financial advice, but their need is often unmet because lower assets make them unattractive clients to some advisers.
Peak Advisor Alliance becomes Carson Group Coaching.
Robo-advice pioneer gets more sophisticated with smart-beta offering.
Key is getting people to focus on the value of service, rather than the price.
Top performers should be given preference for advancement, according to one consultant.
Advisers need to look at other industries that have adapted successfully, Mr. Bruckenstein, the president of Technology Tools for Today, said at the Insider's Forum conference.
