High Risk Broker initiative led to "concentrated effort" and "material results," Finra CEO wrote in letter to Sen. Edward Markey, D-Mass.
Securities America Inc. has launched a succession-and-acquisition-listing website for advisers in its network and for the two other broker-dealers owned by Ladenburg Thalmann Financial Services Inc. Approximately 1,000 advisers affiliated with the two broker-dealers, Investacorp Inc. and Triad Advisors Inc., will join Securities America's 1,760 advisers on the listing site, which is designed to provide a succession-planning network for Ladenburg's aging work force.
The Michigan-based team rejoins the firm after six years away
Weather worries trigger move away from Florida headquarters.
The newly appointed head of the wirehouse is reorganizing the firm's top brass.
How much do wholesalers know about advisers? And what are they telling the competition?
Deal comes in wake of blockbuster $1.15B acquisition Thursday of Cetera Financial. RCS Capital chairman Nicholas Schorsch <a href="//www.investmentnews.com/article/20140116/FREE/140119918"" target=""_blank"" rel="noopener noreferrer">compared his burgeoning broker-dealer network to the old Merrill and Raymond James</a>.
Sheryl Rowling dishes on how technology helped her firm managed through a recent examination by the Securities and Exchange Commission. It made a difference.
A new SEC plan to target advisers who have never undergone formal compliance examination is drawing support from advisers.
Tactics include holding back on both the amount and timing of 401(k) matches and dragging out vesting schedules
President Obama's voluntary '"myRA" proposal, with no option to invest in stocks, could be doomed to failure, advisers say. The plan "isn't going to go anywhere," according to one skeptic. <i>(Don't miss these <a href="http://www.investmentnews.com/gallery/20140123/FREE/123009998/PH" target="_blank">tips for a worry-free IRA rollover</a>.)</i>
Taking benefits early means permanent reduction &ndash; but sometimes that's OK.
Street appeal, Motif Investing attracts the interest of Goldman Sachs
2014 is likely to be bumpier than 2013, with clients likely to need more hand-holding from advisers, meaning it isn't too early to begin.
Advisers must know whether clients who have worked for federal, state or city governments may be affected by pension rules that can reduce or even eliminate certain Social Security benefits.
