Interactive software helps advisers initiate planning discussions with clients
Spencer Sullivant, a former Waddell & Reed rep, was also suspended for 18 months
As advisory firms become more comfortable with using digital tools, new tech could make some jobs obsolete
The move by Winston Wealth, a hybrid managing $300 million, follows a similar shift last week by JFC Financial
The firm suggests buying U.S. and emerging market debt and averaging into select stock sectors
Heavyweights backing Members Exchange, which include Morgan Stanley, hope the venture will reduce the cost of market data
The stress involved in working with clients in the current environment is considerable, and firm culture and support are key factors
Finra and state administrators are set to launch online testing for Series 6, 7, 63, 65 and 66 exams
The economic slowdown resulting from COVID-19 will cut into the program’s revenue and boost its expenses
Michael Mountjoy was also suspended for six months by the regulator
Western International will pay $325,000 and have its compliance methods reviewed
Next-gen advisers need to consider how they'll differentiate themselves and attract clients if digital interactions with clients become more common
The tool is designed for family offices and RIAs looking for more liquidity in assets that are typically hard to buy and sell
Begin with a mindset that’s open to opportunity
The Fed's two corporate lending programs could buy up to $750 billion in debt and exchange-traded funds
JFC Financial Services, with a reported $3 billion in assets, moves to LPL
The number of CFPs keeps growing, but where do they hang their hats?
Fed steps up with monetary support; experts want Congress to provide more fiscal backing
The aging of baby boomers increases the urgency around LTC planning
Amid the unprecedented economic disruption, independent contractor financial advisers are among the small business owners adversely impacted
