None of Wells Fargo, UBS, Merrill Lynch or Morgan Stanley exist in a vacuum, and they certainly compete with more than just one another, yet they principally compare themselves with one another—as does the media.
In a special closed door session at the First Allied Securities national annual conference in San Diego this week, I met with a diverse group of female independent financial advisors. Some of these advisors were in the early phases of...
The intersection of succession planning and next gen planning is key
Much has been speculated regarding the changing landscape at Merrill Lynch and its parent company, Bank Of America. While the culture has pivoted (as to be expected) there are a few things that the organization at large has gotten right and may...
It seems FINRA is getting closer to requiring advisors with transition packages exceeding $100,000 to disclose the compensation to their clients...
We understand the challenge for new advisors – the primary driver of any good marketing strategy is client referrals and introductions – but new advisors don’t have many clients. The secret - don’t let a lack of...
Throughout the past couple of months the governing bodies (read: FINRA) have put forth a mild attempt to extract themselves from the 90’s and catch up to the rest of the business world in the area of social media. While LinkedIn has remained...
