JPMorgan Vice Chairman Joins FINRA’s Board
Stephen Cutler, also a former SEC enforcement director, was named to be a new Large-Firm Governor.
LPL Hosting First Stand-Alone Event for Female Advisors
The conference is bringing together 100 registered reps and others to focus on leadership, wellness and more.
Morgan’s Mandatory Arb Program ‘Stinks to High Holy Hell,’ Lawyer Says
The company’s controversial CARE program, which keeps employee disputes out of court, has created a big headache for FINRA.
Forget the Elevator Speech: 5 Steps to Telling Your Story
The key to your marketing story, says Megan Carpenter of FiComm, is what happens after you tell it to prospects.
LPL Adds $650M RIA, 18 Reps From Voya
Also, Raymond James says it recruited a $300 million team from Merrill Lynch in New York.
Long-Time LPL Team Jumps to Securities America With $2.2B
Prior to partnering with Securities America, WealthPLAN Partners worked with LPL Financial for 27 years.
Salespeople Tend to Do What They’re Paid to Do
In the fiduciary debate, remember that we all tend to do more of what we are incentivized to do.
CFP Board, ‘Rock the Street’ Launch Career Program for High School Girls
Program is designed to raise awareness of financial planning as a career.
Wealthfront CEO Steps Aside and Co-Founder Takes Over
Wealthfront said that Adam Nash has stepped down and been replaced by Andy Rachleff, one of the company’s co-founders.
Broker-Dealer INVEST Taps New Compliance Chief
The IBD, part of National Planning Holdings, brings on Jason Albino, formerly with Penn Mutual Life.