Advisors
News updates, trends and analysis on financial advisors, investment advisors (RIAs), and financial planners (CFPs).
Nationwide to Distribute MassMutual Indexed Annuities for RIAs
By Allison BellThe new relationship shows how insurers are being creative about filling the product shelves.
August 08, 2023
Former LPL, Raymond James Reps Slammed by FINRA for Falsifying DocumentsTwo ex-reps forged clients' signatures, and one provided falsified checks and bank statements to regulators, FINRA said.
August 08, 2023
Hiring Today Is Tough. Here's How to Get It Right.Advisor turnover gives firms the chance to hire replacements with better, and clearer, expectations.
August 07, 2023
The SEC's New AI Plan Expands Reg BI — and MoreIndustry attorneys say the plan would impose potentially burdensome conflict-of-interest requirements on BDs and advisors.
August 07, 2023
Conference Focuses on 'Reclaiming Black Wealth'Black wealth has been "diluted over the years," says American College President George Nichols III.
August 07, 2023
Warn Clients They Can Lose the Ability to Buy Life InsuranceHowever, USAA Life's president recommends compassion for late applicants.
August 07, 2023
Beware, the SEC Is Coming for You!The current administration seems to believe advisors get paid too much for doing too little; the industry must push back.
August 04, 2023
Here's How Much People Think They Need to RetireConcerns about the impact of higher prices are widespread, yet inflation hasn't really disrupted savings efforts, Schwab finds.