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Key Trends in Advisor Compensation Planning
As need for new talent grows more competitive, investment firms need to keep up with financial advisor compensation trends. The need to remain competitive is important for numerous reasons, but perhaps one of the most critical reasons is due to the growing talent...
4 Ways to Improve Your Firm’s Month-end Close Process
The month-end close process for broker-dealers is anything but simple. Intricate commissions and incentive compensation plans, plus regulatory oversight add to the already complicated, tedious process. Poorly executed procedures can be detrimental to a firm. Making...
FINRA Compliance. Is Your Firm Prepared for its Routine Examination?
The Financial Industry Regulatory Authority (FINRA) regulates 3,700 member firms and nearly 630,000 registered reps and conducts over 2000 member firm examinations each year. FINRA conducts routine examinations of broker-dealers checking for compliance with industry...
Plan for Success: Advisor Compensation Research
The latest in Advisor Compensation Research As advisor compensation models continue to evolve it's critical to stay abreast of the current trends. The Kehrer Bielan 2018 Advisor Compensation Study consists of an analysis of trends in the structure and payouts for...
Talent Retention: 5 Best Practices to Retain Top-performing Advisors
Talent retention remains a significant challenge for investment firms — some lose a financial advisor as soon as a new one is recruited. By focusing on advisor engagement and satisfaction, firms can prevent their top-performing advisors from jumping ship to another...
3 Reasons to Focus on Financial Advisor Job Satisfaction
Discover How Satisfied and Engaged Financial Advisors Will Boost Your Firm’s Bottom LineNumerous studies show that an engaged workforce translates to a higher bottom line. This is no different for financial advisors — sales performance management is more than...