How the Fed’s Rate Increase Impacts Business Loans for Financial Advisors

On December 14, 2017

The Fed has increased the benchmark interest rate by 25 basis points to 1.5%. This is the 5th rate increase since the financial crisis, the third increase in 2017, the fourth increase in the last year, and the Fed reiterated their projection of three more rate increases in 2018 as well. How do the increases impact […]

The Advisor Mindset to Recruiting Options: Passive or Poised

On December 14, 2017

Most advisors are not at the point in their life where they are actively looking to transition to a different firm or model today. They’re not calling recruiters or hiring managers and proactively doing due diligence on all of their options. While there are advisors who are currently actively looking at recruiting options, most advisor […]

Is Morgan Stanley Being Overly Aggressive with Non-Protocol TROs?

On December 14, 2017

Advisorbox has been scanning news daily for Morgan Stanley going after departing advisors with Non-Protocol TROs. Since November 3rd, we have seen only two stories (both by AdvisorHub) of Morgan Stanley successfully winning a TRO against a departing advisor. In both cases, the advisors didn’t play by the new rules and paid the price. The […]

Expunging Past FINRA Disclosures May Soon be a Thing of the Past

On December 14, 2017

Financial-Planning’s article, “FINRA may make it harder for brokers to erase past indiscretions” by Ann Marsh, reports the FINRA proposed changes to reign in disciplinary disclosure expungements. FINRA has released proposed amendments to its expungement process requesting industry comments by February 5th. Currently, advisors can expunge years’ worth of disclosures that meet requirements. The proposed […]

2018: SBA Makes BIG Impact on Advisor M&A with New Acquisition Rules

On December 6, 2017

SBA Levels the Financing Playing Field, Empowers Succession Advisors Fish Buying Whales with 100% Financing The new SBA rules going into effect January 1, 2018 is going to turn acquisition lending upside down in several key ways. For more information about the new rules read our AdvisorLoans Insight Article. SBA Paves Way for More Flexible […]

Don’t Forget These Memory Hacks for Financial Advisors

On December 6, 2017

Most every advisor at some point, has had difficulty recalling a client name. It may be because it is a client you don’t meet in person but once per year, or at all. It may also be because you have 200 clients(or more). It’s a good idea to have all of the names of your […]

5 Reasons Why Non-Protocol Breakaway Advisors Should Consider the Independent Franchise Model

On December 6, 2017

The only national franchise model in the independent channel is the Ameriprise Franchise Group (AFG). While AFG, represent one of the largest independent advisor forces with about 7,700 advisors, it is often the most misunderstood by wirehouse breakaway advisors. While AFG, of course won’t be a fit for all independent minded breakaways, it is an […]

Merrill Lynch & Wells Fargo Protocol vs. Morgan Stanley & UBS Non-Protocol

On December 6, 2017

Merrill Lynch commits to remaining in Broker Protocol. Advisorbox happily eats crow. Andy Sieg told his management team, “We continuously evaluate the competitive landscape, but we are not making plans to leave the Protocol.” A spokesperson shared that Mr. Sieg said: “While other firms are focused on leaving the Broker Protocol as a way of […]

Writing Holiday Card Notes to Grieving Clients

On December 6, 2017

If you haven’t seen this article on WealthMangement.com we encourage you to check it out. Amy Florian of Corgenius shares timely advice for financial professionals who have clients who have experienced a loss, diagnosis, death, or serious illness in the past year. For Holiday cards to clients with these experiences, Amy provides an insightful recommendation. […]

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