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Summary: Selling away refers to selling securities without processing the order through your firm or without your firm's permission or knowledge, and this practice is a violation of FINRA rules, whether or not compensation is involved.
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Summary: Market forces — like shifting demographics, consumer demand and regulation — are making financial planning an imperative for firms across the wealth management industry. As a result, financial planning technology is quickly becoming the front line in the battle for client assets.
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Summary: The typical firm increased its client base nearly 8%, and median RIA revenue growth soared nearly 16%, the biggest percentage gain in seven years, according to TD Ameritrade Institutional's annual industry benchmarking study.
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Summary: In 2005, Steve Jobs said “I have looked in the mirror every day and asked myself: If today were the last day of my life, would I want to do what I am about to do today? If the answer is ‘no’ too many days in a row, I know I need to change something.” In this article, I will discuss ways to review priorities, activities, and potential in order to continuously improve.
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Summary: It is frustrating to have great relationships with clients and centers-of-influence (COIs) but virtually no one refers, especially considering how many people we know. Too few of our happy clients refer to us. Is this normal?
