Advisor News

Displaying 26703 results
FINTECH DEC 15, 2015
Former Cetera boss named new FolioDynamix president

Steve Dunlap takes the helm at the wealth management tech provider FolioDynamix.

By Alessandra Malito
RETIREMENT PLANNING DEC 15, 2015
New resolution: Create and review your Social Security statement online

If your earnings information is wrong, you may not receive all the benefits to which you are entitled.

By Mary Beth Franklin
Loss of Social Security file-and-suspend strategy may be overblown
RETIREMENT PLANNING DEC 15, 2015
Loss of Social Security file-and-suspend strategy may be overblown

Restricted application for spousal benefits is still key for married couples.

By Mary Beth Franklin
Loss of file-and-suspend strategy may be overblown
RETIREMENT PLANNING DEC 15, 2015
Loss of file-and-suspend strategy may be overblown

Restricted application for spousal benefits is still key for married couples.

By Mary Beth Franklin
Setting adviser social media resolutions for the new year
OPINION DEC 15, 2015
Setting adviser social media resolutions for the new year

Now is the time to determine marketing strategies to achieve your goals in the coming year.

By Kristin Andree
PRACTICE MANAGEMENT DEC 14, 2015
Massachusetts regulator charges securities firm with improper sale to elderly investor

Investor was sold aggressive investment strategies despite stating low tolerance for risk.

By Christine Idzelis
Senators ask Obama to speed up multistate insurance registry
LIFE INSURANCE AND ANNUITIES DEC 14, 2015
Senators ask Obama to speed up multistate insurance registry

The initiative, signed into law in January, can't get off the ground until the president nominates members to the registry's board.

By Mark Schoeff Jr.
Plan advisers need to take note of the SEC's swing-pricing rule
RETIREMENT PLANNING DEC 11, 2015
Plan advisers need to take note of the SEC's swing-pricing rule

Due diligence considerations that plan advisers should make when a fund has adopted swing pricing.

By Blaine F. Aikin
Broker claws back $1.2 million from Morgan Stanley in 'significant' promissory note case
REGULATION AND LEGISLATION DEC 11, 2015
Broker claws back $1.2 million from Morgan Stanley in 'significant' promissory note case

Ex-Morgan Stanley broker now only has to pay about half of $2.9 million he was originally ordered to pay by Finra arbitrators.

By Mark Schoeff Jr.
Morgan Stanley hit with racial discrimination suit
WIREHOUSES DEC 11, 2015
Morgan Stanley hit with racial discrimination suit

As part of her claim, ex-broker alleges the wirehouse's recent move toward mandatory arbitration is an attempt to prohibit employees from publicly challenging unfair practices.

By Mason Braswell
Industry, investor advocates clash on bond-price-transparency proposals
PRACTICE MANAGEMENT DEC 10, 2015
Industry, investor advocates clash on bond-price-transparency proposals

Rules proposed by Finra and MSRB would require brokers to detail the price differences they and the clients pay for corporate and municipal bonds.

By Mark Schoeff Jr.
12 predictions about what the Labor Department's fiduciary rule will look like when implemented
RETIREMENT PLANNING DEC 10, 2015
12 predictions about what the Labor Department's fiduciary rule will look like when implemented

Predictions on what the Labor Department's fiduciary rule will look like when implemented, and when that implementation might occur.

By Blaine F. Aikin
LPL's Casady could be on the hot seat
INDEPENDENT BROKER DEALERS DEC 10, 2015
LPL's Casady could be on the hot seat

Activist investor Marcato could demand more of a say in how the company is run in effort to boost its stock price.

By Bruce Kelly
What's the difference between an FSA and an HSA?
RETIREMENT PLANNING DEC 10, 2015
What's the difference between an FSA and an HSA?

With benefit open-enrollment season looming, corporate employees need to make the most out of their benefits. After all, with wages largely stagnant, benefits are the new salary.

By Bloomberg
FINTECH DEC 09, 2015
Wealthbox launches new CRM version with Gmail integration

Wealthbox, a client relationship management system for financial advisers, will launch its latest CRM platform to integrate widely-used Gmail accounts.

By Alessandra Malito
FINTECH DEC 09, 2015
Bank teams up with FutureAdvisor to offer clients investment platform

BBVA isn't the only bank with eyes on algo-driven advice, the next trend in the robo-movement.

By Alessandra Malito
Robo-advisers can have a positive influence on clients' financial literacy
FINTECH DEC 09, 2015
Robo-advisers can have a positive influence on clients' financial literacy

Better client understanding of the investing process should be a boon to the client-adviser relationship.

By Michael Spellacy
Personal Capital hires investment bank to find buyer, funding - peHUB
FINTECH DEC 09, 2015
Personal Capital hires investment bank to find buyer, funding - peHUB

Personal Capital, the hybrid robo-adviser with $1.5 billion in assets under management, is seeking a buyer and is in its fifth funding round, according to private equity website peHUB.

By Alessandra Malito
OPINION DEC 09, 2015
The secret to keeping family money

Building family unity correlates directly to maintaining family wealth — and communication about money should start early.

By Steven Abernathy and Brian Luster
How to minimize Medicare surcharges with life insurance and annuities
RETIREMENT PLANNING DEC 09, 2015
How to minimize Medicare surcharges with life insurance and annuities

Advisers may consider several retirement planning options with clients that do not create unnecessarily high Medicare surcharges.

By Katy Votava