Firms that increase their fees have virtually the same average retention rate as firms that don't, consultant says.
Bhenoy Dembla entered fictitious trades to circumvent Class B sales limits.
Firm also raised premiums an average 53% last year through the third quarter for some policyholders.
One essential requirement for being a successful financial adviser is embracing a seamless technology experience and service model, he says.
Wirehouses continued to lose advisers last year, although at a slower pace.
RESA measure would help small businesses offer 401(k) plans, ease use of annuities.
When it comes to fixed income, active management helps investors avoid the inherent biases of bond indexes.
Executive said agency will check on systems and processes firms have in place, and gather information about how rules can be improved.
Some say he should take credit for the economy, others want him to reach across the aisle on taxes and health care.
Who is responsible, and what to do now that it's happened.
Clients seem to be fairly calm about this bout of market volatility, but it's still important for advisers to speak with them directly.
Wells Fargo Advisors, LPL Financial and Cetera Financial Group are dangling deals.
Complex case involved suicide, excessive trading and unauthorized transfers.
His returns at Janus failed to live up to his stellar long-term record at Pimco.
Mistake occurred on a webpage with brokers' biographies.
Delayed retirement credits end at 70, so there's no reason to defer claiming beyond that age.
Broker-dealer network believes it can give advisers a better understanding of what clients are thinking and feeling about money.
Market volatility can pave the way for more important conversations than those beating the market and reducing your fees.
Extending Bengen's research on the proper rate at which to draw down retirement assets using 25 more years of data shows the rule can still work.
