Advisors

News updates, trends and analysis on financial advisors, investment advisors (RIAs), and financial planners (CFPs).

Jefferies Advisor in Miami Barred by FINRA

July 09, 2025

Jefferies Advisor in Miami Barred by FINRA
12 States With the Most Potential AUM per Advisor

July 08, 2025

12 States With the Most Potential AUM per Advisor
Training Program for New Advisors Tops 2,000

June 26, 2025

Training Program for New Advisors Tops 2,000
Ex-Advisor Gets 8 Years for Bilking Clients, Widowed Aunt

June 25, 2025

Ex-Advisor Gets 8 Years for Bilking Clients, Widowed Aunt
Wells Fargo Revises Rules on Internal FiNet Transfers

June 16, 2025

Wells Fargo Revises Rules on Internal FiNet Transfers
Fired Edward Jones Advisor Wins a Cleanup of His Record

June 10, 2025

Fired Edward Jones Advisor Wins a Cleanup of His Record
SEC Says Advisor Defrauded Clients on Fees

June 06, 2025

SEC Says Advisor Defrauded Clients on Fees