The Pacific Financial Group highlighted hypothetical performance in ads in a way that violated the commission’s marketing rule, according to a settlement order released Friday.
According to the firm’s two recent quarterly filings, Raymond James has reached “a settlement in principle” with the commission’s Enforcement Division, including a $50 million fine.
Don Bennyhoff, who was at Vanguard for nearly 23 years, hopes to differentiate his new firm by helping RIAs demonstrate their value beyond investment management.
Many factors—professional and interpersonal—influence whether you are better served exploring together or alone.
New GenAI-driven technologies can help wealth management firms enhance their customer understanding, streamline operations and deliver more personalized and effective services.
Wells Fargo Advisors provides the platform to help serve clients with sophisticated needs AND offers the flexibility to manage my practice in any way I see fit.
Let’s be real for a second. Cold-calling expired listings is never on the top of any agent’s to-do list. It can be intimidating, especially if you’re new to real estate. But here’s a little secret veteran agents know, having killer expired listing scripts can make all the difference. Think of it this way—homeowners with expired […]
Real estate referrals have always been a lucrative source of leads for seasoned agents, so knowing how to generate referrals is vital to building your business. Referrals typically result from you providing such an exceptional customer experience that clients, friends, and neighbors are all compelled to recommend your services to others. So, how do you […]
8 Aug, 2024 | Admin | No Comments
The Diamond Podcast for Financial Advisors: Mid-Year Report on Deals, Transitions and Recruiting
Louis and Jason Diamond share a “state of the recruiting industry” report for the first half of 2024, with perspectives on what to expect for the rest of the year.
Seven ways to succeed in this business.