Vanguard’s Brennan Elected New FINRA Board Chairman
Jack Brennan and new FINRA CEO Robert Cook will replace Richard Ketchum on Aug. 15
Recruiting Roundup: Dynasty Adds Group From Lebenthal
Meanwhile, several wirehouse reps help form a new RIA in Cleveland; Betterment adds a CFO and hits $5 billion in AUM.
5 Strategies to Attract Millennial Advisors
Hartford Funds convened a roundtable of millennial advisors to discuss what the industry needs to do to attract them.
Trust: Being a Good Advisor Is About More Than Expertise and Information
First, listen to a prospect's needs, then present your solutions.
Cetera Grabs LPL Exec to Fill CFO Slot
Jeff Buchheister comes to the IBD group just two months after former LPL President Robert Moore joined the board.
Wells Fargo’s Mack Jumping to Retail Banking Unit
Company names Brand Meyer interim head of Wells Fargo Advisors as it seeks replacement for Mary Mack.
6 Keys to Effective Selling for Independent Advisors
Breakaway brokers know how to sell, and once you’re over your misguided aversion to “sales,” you can, too.
Former SEC Chief Walter Joins Investor Advisory Committee
SEC named three new members to its Investor Advisory Committee, including former SEC Chairwoman Elisse Walter.
A Subtle Benefit of Being an Independent Advisor
With no manager expecting higher “production” as you research stocks or bonds, you can actually pick what’s best for those clients.
Citigroup Exec to Join Vanguard to Lead Legal Department
Anne E. Robinson will replace Heidi Stam as general counsel and managing director of Vanguard's legal and compliance division.