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Maine insurance agency’s Juneteenth sign triggers online backlash
The agency's notice that it was closed for the Juneteenth holiday was criticized as racist and led two major insurance companies to break ties with the agency.
Finra hits National Securities with $9 million penalty
The regulator sanctioned the broker-dealer for violations related to its marketing of securities it had underwritten and failings related to sales of GPB private placements.
Alex. Brown head Haig Ariyan to leave July 15
Bill Seugling will head global wealth solutions at parent Raymond James. He will report to Scott Curtis, president of the Raymond James private client group.
Is your custodian or IBD holding you back?
Some custodians and IBDs will require that an advisory firm move its assets off their platform if the firm is acquired or merges with one of the consolidators.
Accelerate inclusion by adopting agile strategies
Methods honed by the tech and manufacturing industries are surprisingly relevant and effective for workplace culture
How firms can win the next generation of talent
Wealth management firms vying for next-gen talent must rethink long-held expectations about how, where and why people go to work, according to speakers at InvestmentNews' 40 Under 40 gathering.
Succession plan services gain traction as a tool for recruiting, making acquisitions
With more than $10 trillion seen in motion over the next decade as advisers retire, Cerulli expects acquiring firms to make succession planning a bigger piece of the offering.
Wirehouses ditched recruiting years ago, but hit records in 2021. What changed?
Ten years ago, hiring financial advisers at wirehouses had a hammer and tongs feel. Today, hiring and hanging on to advisers are much more nuanced endeavors.
A bear market is not the time to hibernate
In the turmoil and economic uncertainty surrounding a bear market, guidance from a trusted financial adviser is more valuable than ever.
Almost mainstream, LGBTQ couples still need specialized planning
Advisers who serve gay and lesbian couples attract a rainbow of potential clients.
New diversity tools arriving just in time to win the war for talent
Amid the healthy growth in jobs, more resources are becoming available to help employers recruit women and minorities.
Fintech startups tighten belts, bracing for extended bear market
Tifin laid off 10% of its workforce this month in response to the market environment, and it isn't alone.
New LPL program gives advisers more tools to attract, serve the rich
The Private Client Service Network will help select LPL advisers assist their clients with such tasks as the sale of small or midsize businesses; hedging concentrated stock positions; and specialty lending.
Three wealth management podcasts win awards at second annual competition
Retirement, diversity and financial literacy emerge as popular podcasting themes at this year's Advisor Podcast Awards.
How to prepare your clients for 401(k) statement shock
With 401(k) savers likely to be getting some unpleasant news in their next statement, their financial advisers might want to reach out in advance.
Another former head of Wells Fargo Advisors leaves the bank
David Kowach is the second senior Wells Fargo executive with deep ties to wealth management to retire in the past two months.
Anticipating more pain ahead, advisers stress long-term perspective
While the stock market has officially entered a bear market, so far it doesn't feel like March 2009, when the market declined 30%, or October 1987, when it lost 20% in one day.
Carson Group adds $200 million firm
Diamond Wealth Advisors, which is based in Carlisle, Pennsylvania, has joined Carson Partners.
One size does not fit all: Finding the right ESG investments for wealthy clients
The key is to ask the right questions to develop a custom strategy aligned with the client’s goals rather than making assumptions.
Wells Fargo to focus on indie B-D business. For real
Wells Fargo's IBD, FiNet, hasn't been 'a growth priority' for the wirehouse. Now it is. How has the strategy changed?
