The CFP Board also touts last year's growth in Black and Hispanic mark holders, who still represent a small fraction of the CFP population.
The leaders of the agency's enforcement division talk about the message the SEC sent with a $125 million penalty for JPMorgan's failure to preserve text messages.
As the next generation of investors comes on board, advisers are repeating the age-old mantra about not panicking in response to market swings.
The major trends underway in the financial adviser ecosystem, and what those trends portend for the year to come.
Advisers need to deal with fear in many aspects of their work, whether it's market volatility, the effects of the pandemic or their own concerns about breaking away from a wirehouse.
As coronavirus conditions improve across the country, employees across major financial firms are being asked to come back.
In a recent public appearance, the SEC chair addressed so-called 'regulation by enforcement' without mentioning it by name.
The technology lets artificial intelligence do the monotonous tasks of compliance reviews, allowing marketers and compliance teams to focus on the more complex details.
The adviser, James Iannazzo, went on a tirade over the weekend after his son had an allergic reaction to a drink.
Wall Street giant sets another high mark for profit in 2021.
Chief executives at leading brokerage and advisory firms are earning more money than ever. Here are the 2021 compensation numbers for some of the most notable executives.
The moves in product teams increase the responsibilities of Andy Sieg, the president of Merrill Lynch, and Katy Knox, president of BofA's private bank.
Cerulli research shows mountains of wealth will be looking for a home over the next 20 years.
Anne Simpson developed and executed the sustainability investment strategy for the giant California pension plan.
The broker-dealer self-regulator also punished the firm for inaccurate and omitted conflict disclosures in research reports.
Eight of the 11 acquisitions Captrust did last year involved wealth management firms, a trend that Rush Benton says will continue.
Merrill Lynch, an industry bellwether, reports a host of new highs in 2021, ranging from revenue to assets and net new ultra-high-net-worth clients.
The announcement is the culmination of a multiyear initiative to modernize Junxure after its acquisition in 2018. The upgraded system will continue to be offered as a stand-alone product, priced per user.
Ex-broker Perry Santillo also must pay $103 million in restitution.
Incedo’s implementation efforts will help Skience’s platform reach more registered investment advisers.
