Five are censured, three suspended, three revoked and two barred by the Certified Financial Planner Board of Standards Inc.
The regulator wants to provide relief from in-person supervision until the SEC rules on a pilot program for online oversight.
In a break with tradition, the firm is introducing next year's pay plan for its 12,000 advisers earlier this year.
While the firm filed a motion to vacate the award in Superior Court in DeKalb County, Georgia, it's extremely rare for courts to overturn Finra arbitration decisions.
As the $44 billion acquisition sparks extreme reactions for and against the new owner, fintwit considers whether tweeting is still worth all the fuss.
Commission revenue for fixed-income investments and annuities increased in the third quarter at LPL.
A fiduciary mindset when vetting third-party providers should keep them out of trouble, some say. But there are concerns about the regulatory costs entailed for small firms.
Dante De Gori served previously as the chief executive officer of the Financial Planning Association of Australia.
The service allows the firm's high-net-worth clients to use a variety of third-party asset management firms.
Cultural competency is within reach even as the profession persists with its long-term initiatives.
The firm reported 8,681 financial advisers at the end of September, an increase of 199 compared to the same time last year.
A report details unique needs and investing perspectives of women and estimates that failing to tailor products to their needs cost the industry about $14 billion last year.
The company continued to increase revenue per adviser despite the headwinds of the currently stormy stock market.
Guiding jittery clients through rough financial patches is one of the most important things advisers do, but they need to keep themselves from being emotionally drained by the effort.
Asian women want and deserve more opportunities to prove their worth as experts, leaders and rainmakers.
When considering a move, it’s critical to strike the right balance between satisfying specific, objective criteria for immediate needs while taking a wider perspective of longer-term goals and shared values.
Stokes replaces current CEO Geoffrey Brown, who is ending his tenure Nov. 15.
Entry-level employees working at the company's regional call centers are eligible for the program, which will fully pay for tuition, books, fees and taxes.
How well the system works will depend on the quality of the taxonomy, a compliance expert said.
The bank added that it had a 'strong quarter' in financial adviser recruitment in the Americas but gave no details in its earnings information.
