Advisors
News updates, trends and analysis on financial advisors, investment advisors (RIAs), and financial planners (CFPs).
Ex-Cetera Rep Gets 5-Year Prison Sentence for Defrauding Clients
By Jeff BermanThe former broker had pleaded guilty to wire and bank fraud on Jan. 14.
June 03, 2021
UBS Nabs $10.5B Advisor Team From J.P. Morgan Private BankThe six-person advisor team joins UBS Private Wealth Management in San Francisco.
June 03, 2021
Get Ready for a Rough Road Back to the OfficeAdvisors should hold off on in-person meetings with prospects for now, the business psychologist tells ThinkAdvisor.
June 02, 2021
10 Simple Phrases That Wow Any New ClientHere's how to reassure new clients and interested prospects that they're picking the right advisor.
June 02, 2021
Ex-LPL Rep Pleads Guilty to Wire Fraud and Identity TheftThe barred broker allegedly misappropriated about $2.9 million from clients, according to the SEC and DOJ.
May 28, 2021
Morgan Stanley Exec: The Top 3 Attributes of a Successful AdvisorThe firm's head of field management discusses what it takes to succeed as demands on advisors grow.
May 28, 2021
Honoring Advisors Who Serve(d): Memorial Day, 2021Here are stories of veterans in the advisory world, told in their own words.
May 28, 2021
IRS Audits Focus on Solo 401(k)sSolo 401(k) compliance requirements are so minimal that business owners often forget about them — until there's a problem.