by Bill Willis | Sep 26, 2023 | Financial Advisors
LPL Financial has extended its Liquidity and Succession program beyond its internal advisor base to external advisors seeking to sell their book of business. This program allows advisors to monetize their businesses, whether due to retirement plans or a desire to...
by Bill Willis | Mar 2, 2018 | News and Media
What to do if you get a Form U5 As Wall Street has become more regulated, compliance departments have become more vigilant. As a result, more financial advisors are receiving a “Finra U5” or Form U5 and being terminated. Infractions which in the past might...
by Bill Willis | Mar 19, 2013 | News and Media
Before coming aboard, every prospective hire at Raymond James must make a home-office visit. It allows the advisor to evaluate the firm, while giving senior officials a chance to get acquainted with the advisor. When advisors visit the St. Petersburg, Fla.,...
by Bill Willis | Feb 1, 2013 | News and Media
Financial advisors are now in the driver’s seat when it comes to how they want to practice, thanks to the competition for top talent that has stayed strong in the wealth industry this year, according to the eight panelists who attended our annual Recruiters Roundtable...
by Bill Willis | Dec 31, 2012 | News and Media
As the calendar turns the page to another year, 2013 offers the four largest U.S. wealth management businesses the opportunity to recapture some of the assets and talent they have been ceding to other business models including regional, RIA and independent firms. But...
