Why More Advisors Are Offering Financial Planning Services
A new report from Cerulli explains the growing popularity of planning services among advisors, especially younger ones.
LPL Adds $1.1B NPC Team
The group comes on board about three months after LPL's acquisition of assets from its parent firm.
FINRA to Revamp Exam Program
FINRA is “taking a broader look at our exam programs,” CEO Robert Cook says.
What 6 Top BD Insiders Divulge About Fintech Trends
Six BD leaders gave Investment Advisor their take on the year’s biggest fintech news, their thoughts on what's to come and their favorite tech tools.
RBC Wealth Nabs UBS Branch Manager: Recruiting Roundup
Meanwhile, Janney brings on advisors from Merrill and Wells Fargo, and Raymond James’ independent channel picks up a Wells team
2 Top LPL Reps in NorCal Form $875M Group
John Hillis and Mike Allard merge their teams in the San Francisco Bay Area.
FINRA Warns BDs of Impending AML Rule Compliance Deadline
The regulator reminds BDs of the upcoming May compliance deadline for Anti-Money Laundering Compliance Program Rule 3310.
Opening Up on Fintech
Leaders sound off on the latest technology, Equifax breach and more.
Waddell & Reed Makes Exec Shifts at Ivy Funds, BD
The firm announced the departure of Thomas Butch and new appointments to key leadership slots.
Ameriprise Adds 3 Morgan Stanley Advisors: Recruiting Roundup
The advisors come on board in Arizona, Massachusetts and Minnesota with a total of $234 million.