Displaying 8994 results
Milestone planning helps clients and advisers
There are many benefits to milestone planning. Here is what you need to know
Galvin smacks LPL with $1.1 million fine
LPL's latest penalty from Massachusetts derives from not properly registering brokers.
Advice industry leaders focused on improving the digital client experience
Top custodians, broker-dealers and RIAs addressed the challenges of building an Uber-like platform for clients.
5 important pieces of social media news
Changes happen all the time on your favorite platforms — here's what you may have missed.
Advisers step up efforts to help clients manage student loan debt
As some Democrats campaign to wipe the slate clean, financial planners focus on limiting the amount students borrow.
Advisers who pick stocks are hurting clients — and the value of their firms
Too many advisers spend too much time each week watching CNBC and Bloomberg, and imagining they can outsmart the market.
Fixed-income solutions for breakaways entering the RIA space
Wirehouse advisers fear that they'll have less access to fixed-income investments in the independent space, but the opposite is true.
Finra fines, suspends ex-Merrill Lynch broker over loans from clients
Fred Brown also failed to change his employment record to disclose two tax liens and three civil judgments.
LPL Financial push for employee model attempt to tap into $11 trillion market
Advisers working for wirehouses and regional firms control vast amounts of assets that LPL would like to bring under its umbrella.
GPB paid B-Ds and reps steep commissions to sell troubled private placements
GPB paid commissions of 9.3%, or $167 million altogether, on the firm's private placements.
SEC advice rule brings tech focus back to compliance
After turning attention toward next-gen platforms and client experience, broker-dealers may have to rethink technology to comply with a best interest standard.
Finra dings Edward Jones for underreporting alleged damages in customer complaints
The broker-dealer was censured and fined $40,000 for the infractions.
Senate confirms Allison Lee to SEC
Former SEC enforcement attorney will fill Democratic seat vacated by Kara Stein.
Advisers investing in technology to prepare for possible recession, Schwab study finds
No. 1 priority is tech that will help them serve more clients.
Account consolidation preferred more in theory than in practice
Cerulli report finds that affluent clients like the idea, but only about a third do it.
Everyone knows the wholesaling model is flawed. Here’s what to do about it
Wholesalers could evolve — and continue to add value to the process of making investments available to end clients — by focusing more on product education.
Betterment for Advisors debuts paperless ACATS system
Getting rid of the paper involved in using the Automated Customer Account Transfer Service will also speed the process, robo says.
Two fintech firms providing tools for uber wealthy clients
Tech required by UHNW investors is more sophisticated.
Fidelity’s National Financial raises more questions about GPB private placements
No clear value to GPB securities puts them at odds with firm's policy over alternative investments.
How a preacher’s son won 51 LGBT clients
Advisory firms have an opportunity to support more investors when they take an inclusive approach to the work they do.
