by Patrick M. Kelly | Aug 5, 2013 | Clients, Financial Advisors
Client events can yield big returns. Some financial advisors report that up to half their annual referrals come from them. Doing an event right, though, is not easy. There is no one right way to do an event. But advisors who do them often and well say that the idea of...
by Patrick M. Kelly | Jun 10, 2013 | Financial Recruiting Industry, Internet, Job Market, Technology
Did you know that your “digital profile” is your calling card to the new generation of recruiters? If you look competent online you might get a response to that resume that you e-mailed. Recruiters want an overall view of your accomplishments, and more than likely...
by Patrick M. Kelly | May 20, 2013 | Financial Services Industry, Hiring, New Recruits
Breaking into the brokerage business is getting tougher as declining fees make small accounts less profitable and government restrictions on unsolicited calls make phone sales taboo. That’s leaving big firms struggling to replace a retiring generation of financial...
by Patrick M. Kelly | Apr 11, 2013 | FINRA
A former Financial Industry Regulatory Authority, Joseph Sciddurlo claimed in a suit filed last week that he worked as a principal examiner for FINRA in 2010 when he discovered that the regulator’s system allowed large firms to circumvent a Securities and Exchange...
by Patrick M. Kelly | Dec 28, 2012 | Compensation, Financial Services Industry
Good news regarding financial advisor compensation according to The FA Insight Study of Advisory Firms: People and Pay Compensation Update for 2012, released Tuesday. “Compensation within the financial advisory industry is rising at rates significantly greater than...