The Herd vs. the Country Club: Which Mentality Is Right for You?
The need to follow the crowd and the desire for exclusivity are both powerful motivators you can use to your advantage.
LPL Shares Update on First Wave of NPH Onboarding
These 11 large groups moving onto LPL’s platforms should bring between $12.5 billion and $16 billion in combined client assets.
Raymond James Recruits Wirehouse Reps With $1.75B
The 11 financial advisors join its employee, independent and Alex. Brown units from UBS, Merrill Lynch and Morgan Stanley.
SIFMA Sees SEC Fiduciary Rule Proposal Within 18 Months
The lobbying group takes SEC Chairman Jay Clayton "at his word" that the rule is a top priority, CEO Ken Bentsen says.
FINRA Seeks to Revamp Expungement Process
FINRA said that it's discussing with NASAA "more extensive changes" to the process.
Triad Advisors Adds $900M Group: Recruiting Roundup
Meanwhile, Woodbury and Ameriprise Financial share news on their latest hires.
FINRA Releases First Exam Findings Report
Here are the top four problem areas FINRA considers worth highlighting.
2 Advisor Groups With LPL Ties Merge
Wealth Enhancement Group has some $7.5 billion in client assets; the move boosts its presence in Florida.
‘Phase 2’ of DOL Rule Is Dead: Brian Hamburger
At the MarketCounsel Summit, Hamburger also said the Protocol for Broker Recruiting was "unraveling."
Treasury’s Crime Unit Launches FinCEN Exchange
The exchange is intended to enhance information sharing with financial institutions to fight money laundering.