Will the Lull in Advisor Recruiting Last?
By Janet LevauxRecruiters talk to ThinkAdvisor about the latest trends in advisor movement and what lies ahead in the indie and wirehouse channels.
December 20, 2019
RIA Captrust Sticking With Growth Plan in 2020, Exec SaysAfter five acquisitions in 2019, the firm is hoping to make more deals next year.
December 20, 2019
SEC Charges Advisor Who Hosted Radio Show With FraudKeith Springer of California hid his disciplinary history and the fact that he was paid to recommend certain investments, the SEC said.
December 18, 2019
What to Expect From SEC's Reg BI Exams: DriscollExam division will start probing broker-dealers on Regulation Best Interest compliance in January.
December 18, 2019
LPL Nabs Team With 7 Reps, CPAs From Royal AllianceMeanwhile, Wells Fargo FiNet added three advisors from Edward Jones, RBC Wealth and Royal Alliance.
December 18, 2019
CFP Board's Enforcement Oversight Is Inadequate: Task ForceThe task force made multiple recommendations, some of which the CFP Board pledges to adopt.
December 18, 2019
10 Jokes for the Office Holiday PartyGet your co-workers laughing and talking — even if it's about how corny your jokes are.
December 18, 2019
How Big Firms, Small Firms Are Preparing SEC's Form CRSAt FINRA's Reg BI event, panelists from Wells Fargo and a small broker-dealer compared their approaches.