On Wall Street October 2015

With one-third of advisors expected to leave the industry in the next ten years, young advisors see an opportunity to pick up another book of business. But at what price?

There are big payoffs for advisors who plan carefully.

The discussion of what happens to an advisor’s book is parallel to the conversations that advisors should be having with their clients: Prepare for the future and the unexpected, says recruiter Elizabeth McCourt.

Attorney Alan J. Foxman answers readers most pressing regulatory and compliance questions, including where the buck stops when a sales assistant makes a cybersecurity mistake.

If you want to increase referrals in the long run, don’t always act in your own best interest in the short term, columnist Jonathan Clements says.