Multi-year NASAA investigation shows the five firms charged customers $19 million across just over a million trades, violating FINRA rules.
Financial advisors live in fear of a large firm dirtying their work histories after they leave a firm.
Leading with competence and empathy, the best independent advisors have built strong client relationships with communication and investment knowledge, among other hallmarks.
The $287 billion RIA behemoth's newest leader, with experience from Capital Group and BlackRock, will lead its workplace, employee planning, and wealth planning businesses.
Uncertainty and recession fears are driving some fairly traditional behavior.
Barely a decade old, registered index-linked annuities have quickly surged in popularity, thanks to their unique blend of protection and growth potential—an appealing option for investors looking to chart a steadier course through today’s choppy market waters, says Myles Lambert, Brighthouse Financial.
How intelliflo aims to solve advisors' top tech headaches—without sacrificing the personal touch clients crave
