Most Advisors See Little Effect From New Fiduciary Rules, Survey Finds
But, expert asks, do reps really understand what they will need to do to fully monitor and manage investment suitability?
LPL Sees Strong Hybrid RIA Growth Amid ‘Massive Consolidation’
LPL advisors can potentially save time and money using the company’s new Vendor Affinity Program, the firm announced Tuesday.
Where Are the Departing UBS Reps Going?
The firm is shedding advisors, who are moving on to a variety of rivals and going independent.
$3B Team Joins Wave of Reps Saying No to Stifel
The five advisors, who are going independent with Dynasty, are the latest to leave Barclays since Stifel said it would acquire the firm's wealth unit.
LPL CEO Addresses Firm’s Compliance Woes
The firm “is close to being done” resolving several enforcement issues it has faced over the last few years, CEO Mark Casady said.
Raymond James, Ameriprise Beat Estimates on Strong Advisor Results
Raymond James boosts private client revenue 9%, while Ameriprise improves wealth profits 13%.
Wells Fargo, Raymond James Add Reps From UBS, Merrill & Morgan Stanley
A veteran female team goes independent in Utah.
TD Ameritrade Tops Estimates, Cites ‘Breakaway Brokers’ as a Factor
CEO Fred Tomczyk is upbeat on the attractiveness of the firm’s institutional platform and its sales pipeline.
Fixed Indexed Annuity Sales Displacing Some VA Products at BDs
Although VA sales far outpace total annuity sales for broker-dealers, fixed indexed annuities account for 10% of BDs’ total annuity sales, IRI reports.
Schwab Posts First Robo Results; Q2 Earnings Beat Estimates
The brokerage firm rolled out automated advice offerings for investors and advisors this year.