Vaughn Harvey brings more than 25 years of experience in enterprise data strategy as LPL doubles down on advisor-facing AI strategy.
Conduct Rule will now more closely align with SEC's Reg BI
Team of 40 advisors, 12 employees will remain with the firm
Broker-dealer has acquired more than $2B AUM in the past week
But they were worried even before equities dropped sharply
As holistic planning becomes table stakes, research reveals how the rising influence of AI and having a digital orientation can help wealth firms get ahead.
The firm's latest additions, including two brothers, bolster its employee advisor business in Scottsdale, Arizona.
With volatility and economic uncertainty swirling, advisors would do well to consider a formal framework for empathetic and steadying discussions.
Gap in their own financial planning risks harming clients.
The Wall Street giant's newest alts offering, launched under a "G-Series" branding, builds on a broader trend of investment firms looking to expand alts access to the masses.
It’s been a tumultuous week for Commonwealth Financial Network, a leading independent broker-dealer.
Farhad Firoozi is the latest in a long line of senior executives Wells Fargo Advisors has hired from rivals.
Wealth.com is adding Cetera to its enterprise network as 401GO taps Mesirow to enhance its fiduciary service capabilities.
The two broker-dealer firms have expanded in Kansas and Georgia as they recruit defectors from Osaic and Edward Jones.
Apart from the new integration partnership, the two wealth tech firms have bolstered their cybersecurity cred by acquiring a key certification.
For all the debate around PE backing, firms that have outside support can have greater opportunities to fulfill clients' needs.
The firm's new chief legal officer brings nearly three decades of experience, including tenures at Credit Suisse and UBS.
But LPL's message to Commonwealth advisors is focused on retaining its culture, not an easy thing to do.
Regulator folds on three more cases.
RayJay is adding a $465 million team to its employee advisor arm in West Virginia as Equitable recruits an experience advisor in New York.
