What’s an Aging Advisor to Do? Join an RIA
By Todd IngwersenAfter helping retiring clients for their whole career, many veteran advisors may not know how to help themselves in the midst of a changed industry.
August 10, 2017
Advisor’s ‘Mafia the Movie’ Scam Not a Hit With SEC: EnforcementMeanwhile, FINRA barred three brokers, one for excessive trading and two for failure to supervise.
August 10, 2017
The Terrible Twos: The Key Decision Point for Advisory Business GrowthThe advisory business has matured to the point where more than a few businesses have reached $1 billion in client AUM. Thats the good news.
August 10, 2017
Vanguard, TD Ameritrade Cheer DOL’s Move to Delay RuleThe CFP Board, however, says the delay is unnecessary.
August 09, 2017
DOL Seeks 18-Month Delay for Fiduciary ComplianceThe Labor Department has requested a delay for the best-interest contract exemption and two other PTEs.
August 09, 2017
SEC Busts Advisor in AUM Inflation SchemeThe advisor falsely claimed SEC registration eligibility and solicited clients using false paperwork, the regulator says.
August 08, 2017
IRA Rollover Traps Lurk Under DOL Fiduciary RuleAdvisors must proceed with caution when discussing a clients existing retirement assets to comply with the rule or avoid its application entirely.
August 08, 2017
Kestra to Buy H. Beck, Add 600 Reps & Launch RoboCEO Poer says seller Securian is not exiting the broker-dealer business and will keep ownership of another BD.