Commonwealth Financial Hosts Yearly Event
The indie broker-dealer draws some 900 of its 1,500 affiliated reps to the Orlando confab.
5 Critical Marketing Questions Financial Advisors Must Ask Themselves
Many advisors spin their wheels when it comes to creating engaging marketing material. Why? Because they aren’t asking the right questions.
SEC Brought ‘Record’ 755 Enforcement Actions in 2014
The SEC filed a “record” 755 enforcement actions and obtained orders totaling $4.16 billion in penalties in fiscal 2014, the SEC says.
DOL Advisor Crackdown Is ‘Out of Control’: Benefits Lawyer
The DOL conducted more than 3,600 audits of qualified retirement plans last year. Settlements related to violations totaled $1.7 billion in plan reimbursements and fines.
Schwab Profits Rise 11% in Q3
The firm's revenue tops estimates at $1.55 billion, a 13% year-over-year improvement.
RIA Assets Jumped 12.6% in 2014: IAA/NRS Study
Regulatory assets held by advisors registered with the SEC increased by $6.9 trillion from last year, according to an analysis of filings.
Before the Advice, Check Out the Advisor
When Elaine and Merlin Toffel, a retired couple in their 70s, needed help with their investments, they went to their local U.S. Bank branch. The tellers knew them by their first names. They were comfortable there. So when a teller suggested that they meet with the bank's investment brokers, the...
LPL’s Robert Moore: RIAs Are Where the Growth Is
LPL President Robert Moore tells ThinkAdvisor why the BD is not feeling acquisitive and why there's room to grow in the indie RIA space.
New Fiscal Year Will Bring More Advisor Cases: SEC Enforcement Chief
SEC enforcement chief Andrew Ceresney says the agency will continue to bring cases on matters like fees and conflicts of interest.
Fidelity Names Abigail Johnson CEO to Succeed Father, Ned Johnson
Ned Johnson tells shareholders he will stay with Fidelity as chairman.