BDs Fall Short on Protecting Seniors: SEC, FINRA
Report finds some BDs are recommending unsuitable products to seniors and could be violating FINRA’s communications rules.
Female FAs Tired of Playing Musical Chairs: Ann Hughes
Recruiting existing female advisors is simply a game of musical chairs. Ann Hughes, consultant-with-a-mission, says it's time for a new game.
Get a Bigger Assist From Your Sales Associates
In-depth knowledge of available sales support tools not only helps address investor needs but can create a more valuable and efficient business.
AIG Advisor Group SpeakLoud Campaign Tells Advisors: We’ll Make Your Voice Heard
“SpeakLoud” is the rallying cry of AIG Advisor Group's new multimedia recruitment campaign targeting advisors seeking a new home.
Focus Adds Wealth Group in Canada; United Capital Picks Up 2 Firms
Each firm acquires groups of advisors with more than $600 million in client assets.
Baird Adds $350M Ex-Schwab Rep
Meanwhile, Raymond James and Ameriprise pick up teams from Morgan Stanley and Stifel.
Best Full-Service Investment Firms Ranked by Investors: J.D. Power — 2015
Overall satisfaction is stagnant across full-service broker-dealers, the survey finds.
SEC Chief: Fiduciary, Third-Party Audit Rules to Advance This Year
SEC will discuss making rules this year on third-party advisor audits and a uniform fiduciary standard, SEC chief Mary Jo White said.
BD Fees Confuse Investors: NASAA
“Investors are confused and unaware of how much their brokerage firm charges to serve and maintain their investment accounts,” NASAA President William Beatty said.
ThinkAdvisor’s 2015 Q1 Earnings Calendar for the Finance Sector
A list of upcoming earnings release dates for companies of interest to financial advisors and investors.