Advisors
News updates, trends and analysis on financial advisors, investment advisors (RIAs), and financial planners (CFPs).
11 Dreams to Motivate Your Client to Invest
By Bryce SandersWhether it's helping family, leaving a legacy or buying a beach house, having a concrete goal can help your clients save and invest more.
July 09, 2021
The Real Reasons Clients Pay AdvisorsTwo principles underlie successful advisors: Provide useful knowledge and help the client avoid mistakes.
July 09, 2021
Securities America to Pay $1.75M for Failing to Protect Clients From Ponzi SchemeAn independent RIA was able to take $8 million from at least 15 clients of the Advisor Group subsidiary, the SEC says.
July 09, 2021
12 Best States for Retirement in 2021Bankrate graded the states on affordability, wellness, weather, culture and crime.
July 08, 2021
Merrill Faces Discrimination Suit by Black Ex-RepsTwo former Merrill brokers allege Black advisors at the firm received less compensation and were promoted less often than white advisors.
July 08, 2021
FINRA Bars Ex-Royal Alliance Rep Accused of Misappropriating Client's FundsThe former broker at the Advisor Group-owned firm also allegedly refused to provide documents and info requested by FINRA, the self-regulating group said.
July 08, 2021
Want to Avoid Taxes the Peter Thiel Way? Don't Even TryFrom fees to severe penalties for missteps, a self-directed retirement account is something most savers should steer clear of.
July 08, 2021
LPL Advisor Charged in Hit-and-Run DeathThe LPL broker and advisor allegedly struck a 41-year-old man with his car and then fled on foot.