More advisers are turning to practice exams to help evaluate compliance risks and identify oversight gaps before the SEC comes knocking.
Some simple math suggests that just 17% of all clients were proactively approached by their adviser to discuss a succession plan
You now have permission to open your inbox, select all and archive on your first day back at work.
How business owners can prepare themselves now for eventually handing over the reins to their successors.
As stocks continue to slide, advisers scramble to head off sticker shock from clients over ugly August account statements.
More than 125,000 people sat for all three parts of the test, and the institute saw a 10% increase in the number of new Level I candidates.
Broader work experience definition allows columnist to use designation.
To thrive as a profession, we need to better demonstrate what it means to be a profession by putting our clients' interests before our own
<i>Breakfast with Benjamin</i> Pimco finds itself in choppy waters without Bill Gross at the helm.
The Slayer is one of several five-figure espresso machines at the final frontier of coffee elitism.
Ohio firm Carnegie Investment Counsel's move to the suburbs increased productivity and convenience for clients, according to Gary P. Wagner, a principal of the firm and its chief operating officer.
Sales of 25 top 'liquid alts' mutual funds will come under greater scrutiny from the state regulator.
<i>Breakfast with Benjamin</i>: Investment manager Joseph Zada could face 20 years in prison after being convicted for bilking ex-Detroit Red Wings star Sergei Fedorov (pictured) out of $43 million.
Some employers offer amenities such as beer in the fridge, ping-pong tables, the option to work remotely and unlimited vacation days.
Shift brings other people's cars to your driveway. Will it kill off the used-car salesman?
Even if <a href="//www.investmentnews.com/article/20150426/REG/150429941/independent-broker-dealer-recruiting-hits-a-wall"" target=""_blank"" rel="noopener noreferrer">recruiting at independent broker-dealers has hit a wall</a>, the industry still features a number of firms with expanding numbers of registered reps.
Vendors, most of whom are competitors, increasingly work together, allowing advisers to move easily between platforms and, in some cases, to share relevant data.
What's contributing to the rise of the "boomerang" workforce?
With the stock market's correction no longer a matter of if, some market watchers and financial advisers have taken to preaching a sense of calm as investors hunker down for a heretofore rare bout of volatility, not a bear market.
Team of four had $5.6 million in production; hire is latest in string of big recruits.
