Advisors
News updates, trends and analysis on financial advisors, investment advisors (RIAs), and financial planners (CFPs).
Ex-LPL Broker Gets 4 Years in Prison for Raiding Older Clients' Annuities
By Jeff BermanOne affected client had dementia and another had suffered a traumatic brain injury, according to the Justice Department.
August 10, 2023
Cetera Closes on Purchase of Securian's Wealth BusinessMore than 91% of the invited Securian advisors and other financial professionals opted to join Cetera, it says.
August 08, 2023
RBC Picks Up $1B UBS TeamThe addition is part of RBC's effort to boost its presence in the Great Lakes region, the firm says.
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.