As of the beginning of February, we have seen just four exchange traded products with announced and/or actual closings for the year, significantly below the annualized levels of the most recent years. While the trend of these recent years...

When she was at BofA, Sallie Krawcheck said that the breakaway movement hadn’t happened yet—that the top producers were still on Wall Street. She’s still saying that, and she’s still right...

This week FINRA’s Board of Directors authorized FINRA to seek comment on a proposed rule that would require firms to “include a readily apparent reference and link to BrokerCheck” on their websites.  BrokerCheck is a...

Facebook just turned ten years old.  Wow!  Does that officially make Facebook a pre-teen?  Regardless, we decided to dig deeper into Facebook in our latest research study. In our 2014 Financial Advisor Social Media Study, we asked advisors what ...

This Houston advisor wants to bulk up his office, offer more fee-based services and tap high net worth clients. Our industry experts have some tips.

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Last November my wife and I were blessed with the birth of Liam, our second child and first son. My wife, who had diligently prepared for all aspects of the baby’s arrival, had been encouraging me to prepare my overnight “go bag&rdquo...

Let’s assume that one of your professional goals is to build a successful advisory practice that possesses the alter-ego of a first-rate marketing firm. If you’ve been around for a few years, it’s likely that you’ve honed...

Last week, The New York Times posted a story relating Apple‘s (AAPL) lackluster growth in the Chinese mobile phone market. In China, Apple is playing second fiddle to Samsung as consumers are demanding phones with larger screens at...

In 2010, FINRA amended Rule 8312 to require information concerning minor historic customer complaints be added to BrokerCheck records. Customer complaints that brokers had long since forgotten, which, in some instances, never resulted in...