LPL Posts Higher Q2 Earnings, Flat Revenue
The IBD had lower regulatory costs, but sales commissions slowed in the three months ending June 30.
Will 2015 Be the Year Financial Wellness Finally Takes Off?
Less than a quarter of employers have financial wellness programs — a potential source of new clients for advisors. But the field is expanding.
Big Jump in Advisory Firms in 2015
The number of SEC-registered advisory firms grew more than 5% since 2014, the largest increase in four years, a report from IAA and NRS says.
FINRA BrokerCheck Plan Gets More Flak
The IBD lobby wants clarity for indie reps, while NASAA wants the rule to include email signatures.
FINRA Fines Aegis $950,000, Suspends Top Execs
The charges are linked to unregistered penny stocks, sold by groups based in Turks & Caicos.
It's important to listen to other people who have different experiences. Who look different from you. Who are younger than you. Who are older than you. Who speak a different language. Who go to a different church or temple. Who don't go to any church or temple.
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?