Advisors
News updates, trends and analysis on financial advisors, investment advisors (RIAs), and financial planners (CFPs).
10 Worst Financial Advisors in America: 2021
By Jeff BermanThis year's worst advisors allegedly committed some of the usual crimes—and some that will definitely surprise you.
December 02, 2021
The Do's and Don'ts of Using Client TestimonialsLarry Sprung of Mitlin Financial, an early adopter of testimonials, discusses some best practices and how to stay out of trouble.
December 02, 2021
Ric Edelman: Your Clients Are Going to Live to 100. Are You Ready?The RIA pioneer describes the longevity revolution and other shocks he expects will reshape advisors' business.
December 01, 2021
Cetera Expands Investor Acquisition Program to All Its AdvisorsOnly a little more than 100 of the firm's advisors have been using LeadEngine until now, it says.
November 30, 2021
Ex-Merrill Broker Says He's Relieved After Do-Not-Call Allegation ExpungedAn arbitrator for FINRA called the allegation made by Merrill against its former broker defamatory in a recent decision.
November 30, 2021
5 Reasons Going RIA Beats the IBD ModelIt's not an accident that the RIA channel is the fastest growing.
November 30, 2021
FINRA Bars Ex-Morgan Stanley Rep Accused of Using Client Credit Line for HimselfThe former broker also faced multiple client complaints alleging he misappropriated funds or made unauthorized withdrawals, FINRA says.
November 29, 2021
Commonwealth Plans Big Tech Investments as More of Its Advisors Ditch FINRA"Commonwealth actually looks more like a national RIA than it does a traditional broker-dealer," CEO Wayne Bloom tells ThinkAdvisor.