FireMyAdvisor Pairs Unhappy Clients With Advisors Happy to Take Them
Two entrepreneurs saw a lot of unhappy advisor-client relationships out there. So they decided to launch an advisor-firing business.
IBD Woodbury Names Fergesen President, CEO
The new chief has been with the 1,200-advisor group since 1998 and will remain in Oakdale, Minn.
Broadridge Financial Acquires Advisor Publishing Firm Emerald for $60 Million
All-cash deal will combine advisor website and content creator Emerald Connect with Broadridge’s previously acquired Forefield.
Advisor Finds Hot Market: Other People’s Clients
Traditional marketing and sales failed Mike Kaselnak — but one strategy has paid off for him and the advisors he coaches: acquiring other advisors’ clients.
Wirehouse Teams Move to HighTower, Raymond James
Meanwhile, Advisor Center helps seven advisors transition to IBDs in its network with about $520 million in assets.
SEC, FINRA Enforcement: Ponzi Schemer Caught Diverting Victims’ Settlement Money
In other actions, FINRA censured and fined a Dayton, Ohio-based firm and its principal on compliance failures.
LPL, Commonwealth Grab Advisor Teams
The two IBDs trade affiliated teams based in Minnesota and Iowa.
With 10 Years’ Experience, FSI Flexes Its Advocacy Muscles
FSI marks its 10th anniversary with more individual members and with greater influence in Washington and the states, says its leader, Dale Brown.
How to Get Clients to Follow Your Advice
It’s one thing to give good advice — another to get clients to follow it. Behavioral finance experts Olivia Mellan and Kol Burke offer techniques.
SEC, FINRA, DOL Enforcement: $2 Million Restored to U.S. Postal Drivers’ 401(k)s
Meanwhile, SEC announces settlements in penny stock shell packaging scheme and agency wins on front running, loses on insider trading in Illinois case.