BDs, Trade Groups Team Up to Clarify Murky BD Fees
FINRA, SIFMA and other groups, with LPL and other BDs, have joined forces to develop rules that ensure BDs’ fees are easily understood by investors.
Ex-LPL Broker to Pay $1.9M in Fraud Case
At least seven Georgia investors were affected by Blake Richards' schemes, the SEC says.
Schwab-Morgan Broker Battle Is ‘Tricky’: Expert
FINRA has wrapped up its ruling, but arguments over who owns client information when advisors switch firms continue.
Edward Jones to Fund Series 7 Course for College Students
The firm will pay to add this course to 10 universities that offer a financial planning sequence, starting with Kansas State University.
New Hire Roundup: Altegris Names Murphy Deputy CIO
Also in new hires, Lindsey and Lindsey adds Christina Lindsey Orta, and former Gov. David Paterson joins IFS Securities.
Which Advisors Have Loyal Clients — and Why?
Client loyalty is a key to advisors’ success. Here's how to keep it afloat.
‘Mutual RIA’ With Advisor Profit Sharing Launched by LPL Affiliates
Good Life Advisor Systems aims to share profits with all of its partnering reps nationwide, not just principals.
Wells Fargo Grabs 8 Advisors With $1 Billion in Assets
Meanwhile, RIAs affiliated with Focus Financial and LPL add reps.
Honoring Advisors Who Serve(d): July 4th, 2014
On Fourth of July, ThinkAdvisor continues our tradition of honoring advisors and their partners who served in the U.S. armed forces and sharing their stories.
Taking the Indie Leap; Rethinking REITs: June Research Features—Slideshow
For advisors, going independent requires not just careful cost-benefit analysis but also a focus on their clients' confidence—and their own. Ellen Uzelac's cover story in the June issue of Research magazine probes what's involved in making such a leap of faith, and looks at advisors who have done it. In...