JPMorgan Chase's Cutler Named FINRA Large Firm Board Governor
Cambridge's Amy Webber was appointed as the independent dealer/insurance affiliate governor.
Citing DOL Rule, Girard Goes Indie With Cetera
Girard Securities is expected to start winding down its broker-dealer platform in November.
Regulatory Considerations When Bringing On a New Advisor
There are many legal and compliance considerations to keep in mind when adding an advisor to your firm.
Alex. Brown Appoints New Exec For Los Angeles Office
The L.A. regional executive position is a new one for Alex. Brown.
Raymond James Nabs $300M Wells Fargo Team
Three advisors from Wells Fargo recently joined the Raymond James office in Rochester, New York.
Controlling Workers: More Money Is Really Not the Solution
One of the most common issues that advisory firm owners contact me about is changing the behavior of some or all of their employees.
What’s an Aging Advisor to Do? Join an RIA
After helping retiring clients for their whole career, many veteran advisors may not know how to help themselves in the midst of a changed industry.
Cetera Appoints New Information Officer
Cetera has appointed Michael Ragunas as chief information officer to help the organization develop and implement technology across all its lines of business.
AICPA Financial Planning Program Integrated Into 11 Universities’ Curriculums
Coursework focuses on estate, retirement, risk management/insurance, investment and tax planning.
BMO Wealth Taps New Head of Advisor Group
Wallace Harris comes on board in Chicago to lead a staff of 240 with some $12.7 billion in client assets.