Advisors
News updates, trends and analysis on financial advisors, investment advisors (RIAs), and financial planners (CFPs).
How Advisors Can Help Clients With a Terminal Illness
By Jeff BermanProper planning done compassionately can save these clients a lot of angst, advisor and physician Carolyn McClanahan says.
September 07, 2022
Oppenheimer Fights $37M Arb Ruling Tied to Ponzi SchemeA FINRA panel said the BD must pay damages to investors allegedly bilked in a scheme run by a former rep.
September 06, 2022
UBS-Wealthfront Deal Puzzled Many From the StartThe $1.4 billion deal was "doomed from the get-go," Nexus Strategy CEO Tim Welsh says.
September 06, 2022
5 Steps for Advisors to Get Started With Charitable PlanningSome advisors have not engaged their clients, or would like to become more active. Here's how to start.
September 05, 2022
More States Adopt Advisor CE RequirementsWhile many jurisdictions have adopted rules similar to the NASAA model rule, rules vary from state to state.
September 05, 2022
A New Way to Train Next-Gen Financial PlannersHiring students to provide data entry services gives them valuable experience and eases the burden on experienced advisors.
September 02, 2022
FINRA Hits Baird Over $100 Trading CommissionsThe firm was ordered to pay $416,000 for charging a $100 minimum commission even on small trades, FINRA says.
September 02, 2022
Schwab Teams With CFP Board on New Scholarship to Boost DiversityThe Charles Schwab Foundation CFP Certification Scholarship is part of Schwab Advisor Services' ongoing diversity efforts.