Advisors
News updates, trends and analysis on financial advisors, investment advisors (RIAs), and financial planners (CFPs).
LPL Fined $5.5M for Transaction Supervision Issues
By John ManganaroThe broker-dealer also will pay $650,000 in restitution plus interest to 125 clients affected by its failures from 2012 to 2019.
December 26, 2023
Secure 2.0 Is Turning 1, and There Are More Changes to ComeA number of provisions go into effect in January to help balance saving with more immediate priorities.
December 26, 2023
Avantax Brand Isn't Going Anywhere: Cetera's DurbinCetera Holdings wants to minimize disruption to advisors while embracing the firms' shared tax focus, its CEO says.
December 26, 2023
CFP Board Picks 7 Best Retirement Research Papers of 2023Many of the papers recognized by the board tackle timely retirement planning questions.
December 21, 2023
4 Big Retirement Savings Problems, and How to Fix ThemAmong the biggest hurdles in the U.S. system: A person's readiness is disproportionately affected by household income.
December 21, 2023
This Is Where Americans Get Their Financial AdviceAdvice seekers looked to a number of sources for money knowledge in 2023, a Bankrate survey finds.
December 21, 2023
LPL Takes 20% Stake in Independent Advisor AllianceThe backing will help to elevate advisor services and support without jeopardizing IAA's independence, its CEO says.
December 21, 2023
Advisors May Have Little Power to Bridge the Annuity DivideResearch suggests that financial professionals' positive recommendations do not greatly influence clients to purchase the products.