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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 […]
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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 […]
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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 […]
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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 […]
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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 […]
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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 […]
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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 […]
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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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Merrill Advisors: Your Protocol Domino Falls Next

  • On November 29, 2017
You have days, not weeks, to ensure choice Two down and one to go… UBS, a founding member of Protocol, has announced they are following Morgan Stanley in exiting Protocol. The pullout will be effective on Friday, December 1. Like Morgan Stanley, they are only providing their advisors with a few days notice, meaning if […]
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