Practice Management

Growing, running and selling a wealth management practice.

Highlights

Raymond James Settles with SEC for $15 Million for Overcharging Clients

Sep 17, 2019

The regulator alleges that the firm improperly charged advisory fees on retail accounts that had been inactive at least a year and...

Debt Dampens Millennials' Retirement Plans

Sep 17, 2019

It's not just millennials, all generations of Americans struggle with responsible financial behavior, according...

Michael Kitces' #FASuccess Podcast: How to Bring Structure to Relationship Building with Matt Oechsli

Sep 17, 2019

Matt Oechsli details how clients can bring better structure to their relationship-building efforts with clients.

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Stifel, BMO Settle Charges Over Blue Sheet Violations

Sep 16, 2019

Stifel and BMO will pay $2.7 million and $1.95 million, respectively, in penalties.

Five Habits of Successful Team Leaders

Sep 16, 2019

Start raising the bar with yourself—your team will follow.

J.P. Morgan to Pay $1.1 Million for Failing to Disclose Reps’ Misconduct

Sep 16, 2019

FINRA claims the firm was late an average two years in disclosing 89 internal reviews or allegations of misconduct over a six-year period.

The Stephen and Kevin Show Episode 82: I Already Have an Advisor

Sep 12, 2019

Things change...if their financial advisor ever retires or slips up, you'd like to be the first professional who comes to mind.

The Perfect Deal Doesn’t Exist

Sep 12, 2019

While there’s nothing wrong with wanting it all, this can trap advisors in inertia, waiting for a scenario that may never exist.

Your Facebook Marketing Checkup

Sep 12, 2019

Taking stock of how you're using Facebook in your business.

Lawsuits Against the SEC Could Complicate DOL's Own Fiduciary Efforts

Sep 11, 2019

If the latest lawsuits challenging Reg BI are successful, that could send the Department of Labor back to the drawing board in...

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