Advisors
News updates, trends and analysis on financial advisors, investment advisors (RIAs), and financial planners (CFPs).
Don't Forget This CE Requirement, FINRA Warns
By Melanie WaddellRegistered representatives need to complete the Regulatory Element course this year or face "CE inactive" status.
July 27, 2023
Why a 2024 Social Security COLA Under 4% Would Be Good News: MunnellThis would be much lower than previous years but reflects the fact that inflation is finally moderating.
July 27, 2023
Dynasty Adds Ron Insana as Chief Market StrategistThe finance journalist and ex-hedge fund manager will be a spokesperson for Dynasty on investment, economic and related topics.
July 26, 2023
LPL Fined $3M for Failing to Investigate Red Flags, Supervise RepsFINRA alleges that at least 50 LPL Financial registered representatives forged electronic signatures on over 1,000 documents.
July 26, 2023
Schwab Retirement Unit Wants to Expand Deferred Comp ServicesThe new capabilities will be launched in partnership with Newport, which has decades of experience in the deferred comp arena.
July 25, 2023
Ex-UBS Advisor Says Firm Fired Him Over His DepressionThe wirehouse failed to reasonably accommodate his treatment, according to a lawsuit.
July 25, 2023
LPL Financial to Acquire $6.5B Wealth BusinessThe deal will bring Crown Capital's 260 financial advisors to LPL's platform.
July 25, 2023
Ex-LPL Broker Suspended for Teaching Online CoursesThe former broker had five outside business activities without LPL's approval according to FINRA.