Wells Fargo Outlines DOL, Tech Plans; Departures Continue
The wirehouse urged its FAs to "have conversations with clients and document" that discussion.
Optimizing Your (Online) First Impression
Are advisors keeping up with the importance of first impressions to the next generation?
Technology As an Investment – And a Niche
Clients who are keen to have Kim Gaxiola as their financial advisor better not have reservations about technology.
The Future of Financial Advice: ‘Judgment Day’ or ‘Rise of the Humans’?
A CFP Board white paper explores the future effects of digital advice on the financial planning profession.
Wine Merchant Gets 6 Years in Prison for Ponzi Scheme
John Fox ran Premier Cru, a "phantom wine" futures business that cost investors about $45 million.
National Planning Holdings Partners With BlackRock, American Funds to Boost Platform
The parent firm of four IBDs says it is rolling out more technology to its 3,500 affiliated reps.
FINRA Expels First Crowdfunding Portal
The regulator says uFundingPortal.com violated several SEC regulations and FINRA's own portal rules.
Large Cracks Beginning To Form Under Robo-Advisors
Now that the industry is processing what the delivery of financial advice will look like in the post-DOL fiduciary world, a new picture of the robo threat is emerging.
Schwab to Launch Hybrid Robo-Advisor Service
Schwab Intelligent Advisory combines the service of a “live credentialed professional and logarithm-driven technology.”
Betterment for Advisors Partners With FPA
The strategic partnership will help educate advisors about using technology to serve more clients, according to the FPA.