Finra's action was another by the broker-dealer self-regulator that targets a best-execution failure by a member firm.
The New York City-based Zipper Duarte team generates $12.5 million in annual revenue.
When things change, recency bias would have us wait rather than move forward.
Investment firms are re-upping their investment in college women through new donations to the summer immersion program.
Elements provides a mobile Scorecard app that evaluates a prospect’s financial data and provides an evaluation score across 12 measurements.
Treat staff like clients and inform them with the best thinking about financial planning. You'll help them achieve their goals — and yours.
The hiring of Rachel Curley comes amid other leadership changes at the industry group, including a new CEO.
Toledo, Ohio-based Financial Design Group has 14 advisors. Over the winter, recruiters had cited LPL as one of the firms likely to target Securian advisors.
Zineb Bennani has worked for parent firm Natixis since 2005.
Open claims against the Iowa-based broker-dealer totaled $32.1 million at the end of 2022, eight times what it reported a year earlier, according to an SEC filing.
Investors’ happiness with their advisors took a hit last year as the stock market dived, according to J.D. Power’s annual survey.
An advisor’s plain-language explanation of financial system intricacies can help allay fears, keep emotions under control and inform better decision-making.
An expansive network of platforms and services has evolved that's designed to support breakaway brokers.
He is being replaced at Merrill Lynch by Lindsay Hans and Eric Schimpf, who have been appointed presidents and co-heads of Merrill Wealth Management.
It's doubtful many advisors are doing the same due diligence into who produces conference apps and what safeguards are in place that they do with other pieces of their tech stack.
Women achieve better results than men when they make direct investments.
The investment manager said Retiree’s software will bolster its existing capabilities to create a more comprehensive suite of retirement income solutions.
According to the latest report from Schwab Advisor Services, RIAs need to jump on the growth train in order to keep pace.
If financial advisors don't seek the firm's approval, they risk running afoul of securities regulators, Cetera said.
The committee uncovered 'major violations' of the $2.6 billion plea deal Credit Suisse reached with the Justice Department in 2014, according to a report.
