Advisors
News updates, trends and analysis on financial advisors, investment advisors (RIAs), and financial planners (CFPs).
Envestnet to Create Unified Annuity Investment Platform for Advisors: Tech Roundup
By Jeff BermanAlso, Edelman Financial Engines to launch "Everyday Wealth With Soledad O'Brien and Jean Chatzky," a podcast and radio show.
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.
November 29, 2021
Raymond James Hires Edward Jones Exec to Lead RecruitingRobert Moseley will lead the advisor recruiting platform for the firm, which had close to 8,500 advisors Sept. 30.
November 24, 2021
10 Cool Holiday Gifts for Clients Under $100These gifts range from the practical to the nice-to-have to the whimsical and fit within FINRA's client gifting rules.