Advisors
News updates, trends and analysis on financial advisors, investment advisors (RIAs), and financial planners (CFPs).
Ex-UBS Advisor Says Firm Fired Him Over His Depression
By Jeff BermanThe wirehouse failed to reasonably accommodate his treatment, according to a lawsuit.
July 25, 2023
An AI Chatbot Duped Social Security Staffers. The SSA Has Taken Notice.The SSA's Office of the Inspector General is seeking to both leverage AI and protect beneficiaries from its risks.
July 25, 2023
Top 7 Reasons Americans Hire Financial AdvisorsSurvey respondents said having a financial advisor bolsters confidence, yet only 37% work with one.
July 25, 2023
Jon Henschen, Veteran IBD Recruiter, Dies at 64The owner of independent BD and RIA recruiting firm Henschen & Associates passed away early this month.
July 24, 2023
One Way to Add Young Clients: Hire a Young AdvisorJeff Mattonelli, 28, fit into the firm's longer-term vision, said firm founder Ken Van Leeuwen.
July 24, 2023
Advisor Fights SEC in Annuity Switching CaseJeffrey Cutter didn't violate the Advisers Act because he was acting as an insurance agent, his lawyers argue.
July 24, 2023
IRS Halts Most Unannounced Home VisitsThe change is a response to safety concerns for both agents and taxpayers, the IRS says.
July 24, 2023
Inside Morgan Stanley's Big AI Test for AdvisorsThe chatbot is focused on combing through research and even client conversations, says CIO Sal Cucchiara.