As layoffs rise, some financial advisers are encouraging their clients to come up with contingency plans in case they lose their jobs.
The best way to begin enumerating the services you should deliver to your best clients is by asking them what they want.
Jim Nagengast was named president of Securities America Inc., the broker-dealer unit of Securities America Financial Corp.
Break the mold and create a memorable and rewarding client appreciation event that gives back to the community.
The SEC has released its second ComplianceAlert aimed at providing guidance to chief compliance officers.
Compliance costs rose 65%from January 2007 through March 2008 for more than 400 investment advisory firms surveyed by four organizations involved in the advisory business.
This event positions your practice as a retirement resource for baby boomers and helps encourage referrals.
Gardening is a popular hobby among boomers and retirees, so don’t underestimate the interest from your clients.
How do you actually deliver powerful lifestyle events with limited time and resources?
You now have the tools to plan your lifestyle events, but have limited resources to help you execute. What do you do?
A successful program starts by listing all your communications to top clients, and entering the items on a calendar.
Both brokers and insurers bear responsibility for the suitability of variable annuity sales, but at different points in the sales process, industry officials said at a conference last week.
Considering that the age of the typical financial adviser is between 52 and 60, it is safe to assume that a tidal wave of advisers will exit the business over the next 10 to 15 years.
A combination of regulatory developments and court cases since 1998 has molded annuities and insurance products into what they are today — and that development continues.
Merrill has hired John Tyers, formerly one of the heads of Bear's defunct clearing and custody business.
Over the past 10 years, the world of independent-contractor broker-dealers has been turned on its ear.
Now that you have identified several lifestyle event topics, it’s time to start planning for the event itself.
"The marketplace always drives Washington," said Duane Thompson, managing director of the Financial Planning Association's Washington office.
Broker-dealers are expected to keep getting bigger, but turning that growth into profitability will remain a challenge, according to a new study.
Now it's time to create a communication piece that your can use as part of a program to reinforce your brand.
