Ex-Broker Says Wells Fargo's Incentives Tanked His Business
By Jane Wollman RusoffJohn Kwit, now an RIA, tells ThinkAdvisor how the wirehouse pressured him and other employees and how referrals dried up amid the fake-accounts scandal.
September 10, 2020
How Behavioral Finance Can Help Clients and AdvisorsAdvisors using these techniques tend to educate clients about potential volatility and urge them to expect it, according to a recent industry report.
September 10, 2020
How to Talk Politics With Clients Ahead of the ElectionHartford Funds' John Diehl says these chats "can uncover further details on what clients' value ... and ultimately help foster a strong, effective relationship."
September 10, 2020
RIA in a Box Added to SEI Wealth: Tech RoundupAlso, Envestnet rolls out a retirement analytics solution for broker-dealers, as Advicent announces a Naviplan-MX development.
September 10, 2020
Commonwealth Still Grappling With SEC Over 12b-1 FeesThe regulator wants more data about revenue sharing, as the firm seeks a protective order.
September 09, 2020
How Much Do Financial Advisors Earn in Different States?The average advisor earns far more in some states than others.
September 09, 2020
Cambridge to Make Advisor Tech 'Cloud Native'The 3,500-advisor BD is working toward "a limited demo for review" later this year, said one executive.
September 04, 2020
Morgan Stanley to Close Global Opportunity Portfolio to New Investors: Portfolio ProductsAlso, AdvisorShares launched the Pure US Cannabis ETF.