Raymond James Tops Estimates as Profits, Sales Rise
The firm has more than 7,100 reps, $585 billion of assets and growing fee-based revenue.
FSI Brain Trust Touts Growth; Confident on DOL Rule Delay
Leaders of the IBD group say its recent membership growth and advocacy success give it "more firepower."
How to Choose the Right Words to Hook Clients: Pollster Luntz
GOP pollster Frank Luntz makes recommendations, which he has tested in his own polling research, for getting a good response from clients and prospects.
If DOL Fiduciary Gets Delayed, Seize the Moment: FSI’s Brown
The FSI chief says Trump's election gives it “once-in-a-generation opportunity” to push for more advisor- and client-friendly reforms.
FINRA to Get Back to Basic ‘Blocking and Tackling,’ New CEO Says
FINRA hasn't been been “listening well to its stakeholders,” CEO Robert Cook says. “I hope to change that.”
‘No Going Back’ on Commissions, Fiduciary Changes, Broker-Dealer CEOs Say
At FSI OneVoice, execs say that, DOL rule or no DOL rule, commission-based business models are on their way out.
2 Types of ‘Currency’ That Help Women Succeed
At FSI conference, Carla Harris of Morgan Stanley discusses how women can rise and says the push for diversity shouldn’t be just "a bull-market phenomenon."
Why Donald Trump Has David Kotok Worried About the Global Economy
The investment manager cashed out of many stocks following Trump's election.
Active Management Isn’t Dead, but It’s Evolving: Vanguard’s Tom Rampulla
The managing director of Vanguard Financial Advisor Services makes the case for low-cost actively managed funds.
Fidelity RIA Chief to Be HD Vest CEO
Bob Oros is leaving the clearing and custody post to lead the group of 4,500 indie advisors.