Indie BD Reps Most Likely to Outsource Model Portfolios: Cerulli
Advisors making their own investment decisions increases potential liability for broker-dealers under the DOL fiduciary rule.
How to Attract More Female Advisors and Clients
This challenge should be top of mind for financial advisory firms, according to some panels at this week's FPA annual conference.
6 Personality Traits of the Wealthy and Successful
Author and financial editor Jean Chatzky discusses what she found from researching 5,000 wealthy and successful people.
Former Wells Fargo Exec Acquires Part of $800M FiNet Team
In other news, Focus Financial helps two partner firms complete merger deals.
The 3 Best Ways Indie Firms Can Add Female Advisors
The industry knows it needs to diversify, and steps being highlighted at the Ladenburg Institute of Women & Finance Symposium can help.
‘Meaningful Changes’ to CFP Standards Proposal May Come Soon: Aikin
The head of the board of directors of the CFP Board said those changes could be decided at its November meeting.
Fidelity Institutional Names Durbin President
Michael Durbin is now in charge of clearing, custody, trading and other programs for RIAs, BDs and related institutions.
FPA, CFP Board Formalize Their Collaboration
The stronger collaboration is designed to benefit the organizations, the financial planning profession and the public.
RBC Wealth Grabs Rival’s Top Recruiter
Michael Parker was an executive vice president and chief development officer for HighTower Advisors.
FINRA Zeros In on Bad Brokers, Arb Transparency and New Enforcement
It's been a little over a year since Robert Cook took the helm as CEO of the Financial Industry Regulatory Authority and launched a top-to-bottom review of the self-regulator via the FINRA360 initiative.