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January 9, 2017

Advisor Jumps to LPL for Indie-Product Roster
Longtime Ameriprise FA orders from new firm's third-party menu.
House Bill Aims at Two Year Delay of DOL Rule
Meanwhile, fiduciary rule opponent picked to oversee SEC in financial subcommittee.
Maximize the Sale Value of Your FA Practice
Understanding tax implications, getting impartial evaluations and strategic mergers can all boost the value of a practice.
Long-Term Planning is Key to FA Success
Finding gaps, hiring help to fill them and succession planning are all integral parts of long-term strategy.
Corzine Fined $5M Over Customer Funds Misuse
Case involves Corzine’s leadership of collapsed brokerage.