The Fundamental Things Apply
Presidential contenders often temper their policies once in the Oval Office, a trend we’re already seeing with Mr. Trump.
Sallie Krawcheck: Why Trump Could Benefit Women in Business
Krawcheck put together a checklist for women on how they can assert their power in a Trump-run United States.
Wells Fargo-SigFig to Roll Out Robo-Advisor in ’17
The wirehouse is the second large employee-advisor firm to go this route in its use of digital products and services.
SEC Chief White to Step Down in January
White has championed a fiduciary rule for all advisors and pressed Congress to raise its budget so it could increase investment advisor exams.
Advisor Group Says Price ‘Is Right’ for CEO Slot
The IBD firm, which has some 5,000 reps, taps a former wirehouse and tech executive for the position.
How the Military Creates Successful Financial Advisors
Four veterans who are now working in financial services share how the military prepared them for success in the civilian world.
Calamos Hires USAA CIO to Head Fixed Income Strategies
Matt Freund will lead Calamos’ further expansion into fixed income, credit and alternative products.
Honoring Advisors Who Serve(d): Veterans Day, 2016
ThinkAdvisor honors 10 veterans this Veterans Day who served in the armed forces and now serve their clients as financial advisors.
The Chilling Effect of an Over-Zealous FINRA's Gibbeting
As FINRA puts the regulatory thumbscrews on broker-dealers, stepped-up policing trickles down to the advisor level. It's not a good development.
JPMorgan Vice Chairman Joins FINRA’s Board
Stephen Cutler, also a former SEC enforcement director, was named to be a new Large-Firm Governor.