Advisors
News updates, trends and analysis on financial advisors, investment advisors (RIAs), and financial planners (CFPs).
Pershing X Updates Wealth Management Platform
By John ManganaroThe features, including an interconnected client portal, were revealed at the firm's annual financial advisory conference.
June 05, 2024
American College to Roll Out Tax Planning CertificationJeff Levine worked with the college to create the Tax Planning Certified Professional designation.
June 05, 2024
Advisors Pick ETFs Over Stocks for Client Portfolios: SurveyNearly 90% of respondents to an FPA survey recommend exchange-traded funds for their clients.
June 05, 2024
Watch Out, BDs! Here's What Triggers an SEC ExamA new Risk Alert details red flags that could make BDs prime targets for examiners.
June 04, 2024
New Event to Spotlight Role of Black Women in FinanceThe first Women's Impact Initiative Network Conference is set for Chicago on Juneteenth.
June 04, 2024
BNY Mellon, Pershing Launch Integrated Services at Insite ConferenceThe bundled offering aims to deliver comprehensive investment solutions to advisors, says distribution executive David DiPetrillo.
June 03, 2024
Morgan Stanley Loses Another FINRA Fight Over Deferred CompThe order comes as the firm seeks court intervention in a saga involving deferred compensation "clawback" litigation.
June 03, 2024
Citizens Bank Adds $1B Ex-First Republic TeamTeam leader Brian Nagle, based in Boston, has been a managing director at JPMorgan since mid-2023.