Robert Cook, Former SEC Exec, Named New FINRA Chief
Robert Cook, who served as head of SEC Division of Trading & Markets, replaces Richard Ketchum.
UBS Wealth Unit Cuts Recruiting 40% to Beef Up Advisor Pay
The Swiss-based wirehouse says its plans are part of an overall reorganization and cost-cutting for its American wealth unit.
Recruiting Roundup: Raymond James Adds Affliates, Reps With $3.2B in Assets
Meanwhile, Merrill Lynch, RBC, Dynasty, Schwab and other firms welcome new advisors to their operations.
A CFP’s View of the CFP Board on Wall Street
A reader shares feelings about how the CFP mark is misused by unscrupulous financial professionals.
Dealing With the Difficult: 5 Growth Strategies Advisors Ignore
We’ve found that most very successful advisory firms do all or most of these things.
Fidelity Charitable’s Annual Giving Report Identifies Opportunities for Advisors
The growth of DAFs like Fidelity’s is sending a message to advisors who want to deepen their relationships with existing clients and attract new ones.
Recruiting Roundup: Raymond James Adds $620M Bank Group, Advisor
Meanwhile, Morgan Stanley picks up four reps with a combined $790 million in assets.
Top Portfolio Products: FPA Launches Reengineered PlannerSearch Platform
FPA has made it easier for consumers to find financial planners. See how the organization redesigned its PlannerSearch website.
Ron Carson’s Group Gets $35M From PE Firm
The wealth manager has some $6.5 billion in assets and has plans to expand.
Honoring Advisors Who Serve(d): Memorial Day, 2016
ThinkAdvisor, in its yearly slideshow, honors nine veterans this Memorial Day who served in the armed forces and now serve their clients as financial advisors.