Advisors
News updates, trends and analysis on financial advisors, investment advisors (RIAs), and financial planners (CFPs).
Watch Out, BDs! Here's What Triggers an SEC Exam
By Melanie WaddellA new Risk Alert details red flags that could make BDs prime targets for examiners.
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.
June 03, 2024
12 Ways to Nudge Clients to CommitAdvisors need to create a sense of urgency, while prospects need to be presented with the best options.
June 03, 2024
Association of African American Financial Advisors CEO 'Involuntarily Removed': ReportLongtime J.P. Morgan executive Sheena Gray has taken over as interim CEO, replacing Christian Nwasike.
May 31, 2024
What Wealth Managers Must Do to Outperform by 2030: EY ReportClients remain firm in their desire for a valuable, trusting relationship with their financial advisor, the firm says.
May 31, 2024
Leaders Need 'Micro-Knowledge' to Achieve Big Goals"Dig in and spend time with your teams," advises Jackson's Scott Golde, Luminaries winner for executive leadership.
May 31, 2024
Good Options for 'Saving' Social Security Are Disappearing Fast: Alicia MunnellThe choices get harder the longer lawmakers wait, the Center for Retirement Research director warns.