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UBS CEO gets 11% pay hike
Ralph Hamers received $13 million for his second full year in the job while the overall bonus pool for the rest of the firm was cut 10% to $3.3 billion.
Striving to win at compassion? You’ve missed the point
As a management tool, compassion is hard to execute and easy to love.
Finra encourages brokers to increase scrutiny, controls when using finfluencers
The regulator releases an update to an exam sweep probing how member firms tout themselves on social media.
LPL facing SEC investigation into unapproved personal devices
LPL's disclosure follows a crackdown by US regulators on financial firms' failure to monitor employee communications on messaging apps.
Get back to your roots and market
As an advisor's client base grows, more of their time is spent servicing existing clients, which leaves little time for finding new ones.
Advisory firm looks for clients right before they need advice
Michigan-based Innovia Wealth concentrates on entrepreneurs who are on the brink of striking it rich.
Biden plans to name Julie Su as next Secretary of Labor
Su, who would become the first Asian American Cabinet secretary in Biden’s administration, would replace Marty Walsh.
Merrill Private Wealth promotes Hans to lead unit
For the last six years, Lindsay Hans has headed Merrill's Northeast and Mid Atlantic Divisions. She succeeds Don Plaus, who's retiring.
10 cities with the highest concentrations of financial advisors in 2023
Some cities have far higher ratios of personal financial advisors to adult inhabitants than others.
TIAA adds industry veterans to retirement solutions team
TIAA announced the hiring of Shamila Rajaratnam from the Vanguard Group and Jim Mullery from Prudential to round out its retirement solutions leadership team.
LPL taps Schwab veteran for RIA growth
Julian Lopez will focus on LPL's relationships with independent advisors.
Student athletes’ NIL deals give advisors the ability to create change
Financial advisors can play an active role in the success of student athletes with name, image and likeness deals, but they need to speak the language of their young clients.
Wells Fargo latest to face probe of use of messaging apps
The SEC and the CFTC are looking at the bank's retention of employee communications related to the use of unapproved messaging apps, it disclosed in a filing.
TradePMR, FP Transitions partner on consulting service
The service aims to help RIAs and breakaways with organizational structure, compensation and entity design.
With recession looming, advisors prepare for the worst
Clients are being advised to build up their cash positions, reduce equity risk and load up on high-quality fixed income.
Finra fines small B-D after years of net capital problems
Laidlaw & Co., with eight branch offices and 75 registered reps, was fined $200,000, according to Finra.
Are financial advisors recession-proof?
What the numbers say about advisory jobs in a potential downturn, according to an InvestmentNews Research analysis of Bureau of Labor Statistics data.
The ’secret’ of advisor job security
As long as wealth management firms can continue to attract and retain knowledgeable and empathetic individuals, financial advisors should always have a job.
Bad apps + Bad actors = Bad news for advisors
Two types of worrisome trends emerge in the app landscape that financial advisors must watch out for.
Advisors’ worst fears coming into 2023 proving groundless, so far
A relatively smoother ride in the financial markets this year should allow advisors and their clients to breathe a sigh of relief.