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Build wealth by investing in your advisory business
Your investment in your firm will essentially grow tax-deferred as the value of the business increases.
Finra bars ex-Raymond James compliance executive for data tampering
In 2016, Vincent Storms changed broker audit information and avoided follow-up work.
Finra arbitrators award $1.8 million to former USAA brokers for wrongful termination
Claimants received $850,000 in compensatory, $700,000 in punitive damages, $250,000 for attorneys
SEC bars ex-Transamerica broker who took $583,000 from clients
The broker, Pedro L. Gonzalez-Seijo, was charged last summer with fraud.
A higher standard of client care
Finra's recent guidance on firms' communications with clients of transitioning advisers recognizes the importance of choice and continuity of service for clients.
Client longevity is advisers’ top retirement planning concern
But clients may be underestimating the possibility of longer lifespans when they're planning for retirement.
Millennial women and finances: Study yields surprising results
When it comes to investing and planning, more millennial women cede control to their husbands than women of previous generations.
Client onboarding becomes even more of an advice firm challenge after mergers
CTO says firms should think about the human experience as they bring over clients after an acquisition.
Former LPL broker with ties to ex-con charged with fraud
SEC charges Kerry Hoffman with fraud involving unregistered securities.
How employee stock ownership becomes a succession plan
Spreading ownership across the advisory firm keeps employees happy and engaged while offering a clean exit for the owners.
Finra slaps Summit Brokerage with fines, restitution over broker churning
Broker's trading generated $650,000 in commissions while clients suffered steep losses.
LPL snags $1.1 billion team from Raymond James
PacNorth Retirement Group will use both LPL's broker-dealer and corporate RIA.
6 best practices for running your firm
Small business owners nowadays must wear many hats, so here are some items to include in your to-do list
The perils of do-it-yourself IRA transactions
A $20,000 Roth conversion turns into a $2 million tax disaster, demonstrating why clients need advisers for critical IRA moves.
Ask these cybersecurity questions
They should hold every type of software they use to the highest security and data privacy standards.
How ‘high beam thinking’ can help advisers adapt to a changing future
Advisers need to accept that dinners and golfing won't cut it for business development in the future.
Increase diversity or die, Pershing CEO Tibergien tells RIAs
If firms want to keep pace with changing investor demographics, they have to hire more diverse viewpoints.
Reflections on pride
Powerful symbols require day-to-day actions by leaders to make firms more inclusive.
Advisers have their sights set on these fintech tools
Where are the tools to help predict client moves?
3 things to consider when advising blended families
Not addressing important financial issues before deciding to combine two households can lead to a disaster.
