Advisor Resources

March 4, 2026A breakaway advisor is a financial professional who leaves a traditional wirehouse or broker-dealer for an independent advisory practice. Every year, advisors leave or “break away” from large brokerage firms whose businesses may be built around selling financial products and services for commissions. These advisors then join or establish their own registered investment advisor (RIA)… read more…

October 20, 2026The credit risk certification (CRC) is a professional credential that is offered by the Risk Management Association (RMA). Financial advisors obtain this certification to demonstrate their proficiency in assessing and managing credit risk. This certification may be of interest to you if you want to work more with businesses or business owners. SmartAsset’s Advisor Marketing… read more…

February 25, 2026In 2019, the Securities and Exchange Commission adopted Regulation Best Interest (Reg BI), redefining standards of professional conduct for broker-dealers and associated persons. The standard, which falls under the Securities Exchange Act of 1934, requires broker-dealers to follow the best interests of their clients when recommending securities or investment strategies that involve securities. Adhering to… read more…

July 2, 2026Working with high-net-worth clients can present some unique opportunities if you’re able to establish long-term relationships, generate more referrals and increase business revenue. Managing these types of clients requires specialized knowledge and understanding of the needs and concerns that wealthy investors often have. Knowing what to expect can help you balance serving your high-net-worth clients… read more…

July 15, 2026When you’re embarking on a new client relationship or meeting with a prospect for the first time, setting the right tone matters. That includes getting to know their needs and expectations better by asking questions and absorbing what they have to say. In addition to reading reviews, 73% of respondents say they want to talk… read more…

July 2, 2026Financial planning can open the door to a wide range of jobs, including financial advisor, investment analyst, wealth manager, retirement planner and tax advisor, among others. If you’re just starting out, the range of positions you qualify for may be smaller, but everyone has to start somewhere. Here’s a round up of entry-level financial planning… read more…

March 6, 2025Building a successful—and sustainable—business often begins with developing systems that allow you to operate as efficiently as possible. Strategic portfolio management (SPM) encompasses various processes that financial advisors and other organizations can use to ensure that their actions align with their goals. Pursuing this type of approach can facilitate growth and allow you to better… read more…

May 19, 2026The Securities and Exchange Commission (SEC) imposes certain rules on registered investment advisors governing ethical behavior. Rule 204A-1 of the Advisers Act outlines minimum standards for establishing an advisor code of ethics, including the treatment of reportable securities. Meeting these standards can help advisors remain compliant with federal regulations. Add new clients and AUM at… read more…

April 29, 2026Personal finance influencers are becoming increasingly popular on social media as people seek out straightforward, practical financial advice. While many influencers cater to a consumer-facing audience, some offer tips and strategies that are directed toward financial services professionals. Getting to know some of the most impactful personal finance influencers can be a terrific way to… read more…

October 21, 2026A market sentiment indicator provides insights into the overall mood or attitude that investors have toward the financial markets, helping advisors gauge whether sentiment is bullish, bearish or neutral. These tools analyze data such as trading volumes, price movements and investor surveys to reflect the collective behavior of market participants. By aligning investment strategies with… read more…

October 7, 2026Compliance is a critical, but time-consuming aspect of running a successful advisory practice. Advisors who would prefer to dedicate more hours to growing their businesses may look to compliance solutions to ensure adherence to financial regulations. Software, outsourcing and custodial support can further that goal. These options can complement one another. A firm may use… read more…

September 30, 2026The distinction between financial advisors can sometimes hinge on the depth of their knowledge and the trust they inspire. Financial planning certifications may indicate an advisor’s commitment, expertise and adherence to ethical standards, which can be reassuring for current and prospective clients. Professionals who pursue certification enhance their reputation and demonstrate a mastery of complex… read more…

February 5, 2026Getting a chartered retirement planning counselor (CRPC) designation can increase a financial advisor’s earning potential without the need to invest a lot of time, energy and money. People with this financial professional certification report earning an average of 9% more after qualifying for the designation, according to the organization that provides training for CRPC applicants.… read more…

February 25, 2026Investment adviser representatives (IARs) who provide financial advice to clients now have to complete annual continuing education in a growing number of states. As of early 2026, 22 states plus Washington, D.C., and the U.S. Virgin Islands have implemented rules requiring IARs to perform 12 hours per year of continuing education focused on ethics, products… read more…

October 22, 2026Earning professional certifications can enhance your credibility and help you attract new clients. The chartered life underwriter (CLU) designation is geared toward life insurance specialists and focuses on insurance law, products, planning and business applications within the life insurance field. The chartered financial consultant (ChFC) designation, by contrast, is designed for financial planners and covers… read more…

March 6, 2025A Certified Financial Planner™ must meet continuing education (CE) requirements to maintain their certification. If you’re interested in completing financial planner courses online there are plenty of options to choose from. When comparing financial planning classes, it’s helpful to consider the format, the time commitment required, and what you’ll pay. SmartAsset’s Advisor Marketing Platform can… read more…

May 13, 2026Scheduling a discovery meeting with a prospective or new client is an opportunity to get to know them a little and establish the ground rules for your interactions going forward. Setting an agenda for the meeting can ensure that you’re covering the most important topics. You should also be prepared to ask the client some… read more…

October 1, 2026A financial advisor code of ethics is a written set of standards that governs how an advisor treats clients, and the rules depend on how you’re registered. SEC-registered investment advisors are required to adopt a written code and follow the fiduciary standard. CFP® professionals are also fiduciaries, but they additionally must adhere to the CFP… read more…

June 30, 2026Earning the Certified Financial Planner™ (CFP®) designation can expand your career options, including opportunities for remote work. While some firms prefer advisors to work on-site, others offer flexible arrangements that allow CFP® professionals to work virtually, either part time or full time. If you’re considering remote CFP® roles, it’s helpful to understand where to find… read more…

September 2, 2026When considering a career path in the financial sector, two common options often come to mind: becoming a financial advisor or a financial analyst. Both roles offer unique opportunities and challenges, appealing to individuals with different skill sets and career aspirations. While financial advisors primarily focus on providing personalized financial guidance to individuals and families,… read more…

February 3, 2026Financial advisors operate in one of the most highly regulated corners of the financial industry, and for good reason. Clients trust advisors with their savings, retirement plans and long-term goals, often sharing deeply personal financial details along the way. Understanding the rules that govern financial advice isn’t just about avoiding penalties; it’s about building credibility… read more…

March 7, 2025Risk is an important consideration when helping clients shape their retirement plans to achieve the outcomes they desire. One tool you may rely on to help clients visualize potential outcomes is the risk curve. In simple terms, a risk curve illustrates the tradeoff between risk and reward. When used in a financial planning context, risk… read more…

February 3, 2026Whether you’re pursuing your first position as a financial advisor or preparing for your next move, a well-crafted resume is essential in a competitive job market. If you’re creating a resume from scratch or updating one you haven’t visited in years, it helps to understand what employers look for. Reviewing a financial advisor resume example… read more…

August 24, 2026Storyselling is a financial advisor marketing technique that uses narrative structure to create emotional engagement with prospective clients and promote services in an approachable way. Sixty-three percent of social media marketers say that relatable content is the most effective strategy for their brand, according to HubSpot.1 If you’ve struggled to gain traction with marketing, storyselling… read more…

February 9, 2026Earning the Certified Financial Planner™ credential could broaden your career horizons and help you grow your book of business. There are several requirements financial professionals must meet, including completing the CFP® Capstone course. The course is designed to enhance your knowledge and skill set in preparation for working with clients and is required for all… read more…