In the current business and regulatory environment, firms and financial professionals have to know that their controls will protect client data. Use this cybersecurity preparedness self-assessment checklist to help determine whether you need to make upgrades, so that you can know exactly what to do and work more effectively with your IT services provider.
The choice of brokerage or RIA firm involves any number of factors and a range of timelines. Here's what the numbers and experts suggest are the main drivers.
In a big week for industry recruiting, Stifel lands practices managing $2.9 billion at Merrill, Merrill recruits a $1.9 billion team from Raymond James and Rockefeller pulls part of a $2.3 billion team from UBS.
Over half of America's workforce lacks access to retirement plans like 401(k)s. A new bill aims to change that.
Lack of communication about estate plans and the reasons behind them is sure to cause static among client families down the line.
The pros and cons of giving discounted or free financial advice to those close to you.
The structure has been delivering tax savings to advisory practices and other professional services firms for decades. But experts say sometimes it's not the best fit.
