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AI: It’s more personal than you think
Artificial intelligence stands to positively impact advisory firms' relationships with their clients by fostering more personalized experiences.
What advisors need to know about estate planning for LGBTQ couples, individuals
In the absence of proper estate planning, there's a risk that LGBTQ individuals' intentions may not be respected.
Finra warns brokerages to pay attention to rising cybersecurity threats
The broker-dealer self-regulator highlighted a recent government advisory about a ransomware attack and told member firms to brush up on Finra's guidance on the topic from last December.
Finra suspends financial advisor facing child sex charge
Thomas Vernor is based in Huntsville, Alabama, and started in the securities industry in 1984 at Morgan Stanley Dean Witter.
More than just a number
Pay equity in the advisory industry might seem like a straightforward proposition. It isn’t.
Twitter struggles to match engagement found on other networks, study finds
For advisors, LinkedIn and Facebook were far better for generating interactions than Twitter.
Finra bars advisor who focused on special needs
Andrew Komarow was featured in InvestmentNews in May 2021 for his focus on understanding special-needs financial planning.
Cetera CEO Antoniades: ‘I’m not going anywhere’
Regardless, plenty of questions remain about the future of the long-time Cetera executive.
Merit Financial adds LPL veteran Andy Kalbaugh to its board
Kalbaugh will work with the fast-growing wealth management firm's executive leadership on strategic planning.
How to get started with automation
There's a fair amount of legwork that needs to happen to get firms to the point where automation is possible.
Finra spanks Schwab with $350,000 fine over disclosures on ETNs
Schwab self-reported the issues with disclosures related to exchange-traded notes, which occurred from January 2016 to December 2020, to Finra.
Wells Fargo adds sports and entertainment program
The firm cited the sports and entertainment accredited wealth management advisor designation rolled out in 2022 by the College for Financial Planning as a factor that will help advisors meet such clients' needs.
With Credit Suisse deal done, UBS sets team to lead wealth management
Veteran UBS wealth management executive Tom Naratil is not part of the new team, however.
Personal pronouns: Tiny words that echo loudly
Identity pronouns resonate far beyond the forms they're written in, signaling inclusion and respect.
SEC warns advisors about disclosures for testimonials in exam alert
The SEC wants advisors to disclose whether the person who's touting them is a client, is being compensated or has any conflicts of interest.
10 IBDs that earned the most fees in 2022
As independent broker-dealers’ shift toward fee revenue continued last year, here are the firms that earned the most in fees.
Can Goldman Sachs and Citigroup catch up on hiring advisors?
Both banks have recently signaled their interest in bolstering their wealth management operations, but they can't snap their fingers and conjure financial advisors from thin air.
LPL nabs Edward Jones duo in Tennessee
Todd Rosel and Larry D. Smith oversee $310 million in assets and are combining their practices to form a new firm, Integrity Wealth Advisor Group.
Altruist names former Pixar, Blend exec as new CFO
Marc Greenberg most recently worked at Blend, a white-label fintech that banks use to build consumer-facing digital products.
Sales is not a dirty word
If you’re a fiduciary, the better you are at subtle persuasion, the better off your clients will be.
