1 in 10 Advisors Have Never Heard of Robos: Survey
A survey from Jefferson National identifies some misperceptions the industry has about robo-advisors.
‘Dissident’ Candidate Elected to FINRA Board
Brian Kovack campaigned on the need to reform FINRA's arbitration process, exams and registration disclosures.
Cetera Shuttering Broker-Dealer, Pushing Out Some Reps
Recruiter says about half of the J.P. Turner advisors have been invited to join Summit Brokerage.
Most Advisors See Little Effect From New Fiduciary Rules, Survey Finds
But, expert asks, do reps really understand what they will need to do to fully monitor and manage investment suitability?
LPL Sees Strong Hybrid RIA Growth Amid ‘Massive Consolidation’
LPL advisors can potentially save time and money using the company’s new Vendor Affinity Program, the firm announced Tuesday.
Where Are the Departing UBS Reps Going?
The firm is shedding advisors, who are moving on to a variety of rivals and going independent.
$3B Team Joins Wave of Reps Saying No to Stifel
The five advisors, who are going independent with Dynasty, are the latest to leave Barclays since Stifel said it would acquire the firm's wealth unit.
LPL CEO Addresses Firm’s Compliance Woes
The firm “is close to being done” resolving several enforcement issues it has faced over the last few years, CEO Mark Casady said.
Raymond James, Ameriprise Beat Estimates on Strong Advisor Results
Raymond James boosts private client revenue 9%, while Ameriprise improves wealth profits 13%.
Wells Fargo, Raymond James Add Reps From UBS, Merrill & Morgan Stanley
A veteran female team goes independent in Utah.