SEC Fines Former Staffer for Ethics Violations
By Melanie WaddellDavid R. Humphrey concealed personal trading from SECs ethics office and misrepresented his trading activities, the agency says.
May 08, 2017
Ron Carson — The Advisor’s Advisor: The 2017 IA 25He argues today's reps must prove their worth and adjust to change; "you either evolve quickly or become irrelevant."
May 05, 2017
David Gergen Handicaps the Republican AgendaThe former presidential advisor says passage of a health care bill will clear the way for smaller than expected tax cuts and deregulation.
May 04, 2017
Envestnet Announces Its First Essential Advisor AwardsThe awards coincide with the launch of its Essential Advisor Certification program.
May 04, 2017
TD Bank Names New Sales Chief for Wealth GroupJim Nesci joins the the firm from Provident Bank; he has more than 25 years in the industry.
May 03, 2017
How to Discuss Impact Investing With Your ClientsIt's a conversation most women and millennials want to have and one robo-advisors can't initiate, says Envestnet's Zachary Karabell.
May 02, 2017
Senate Confirms Jay Clayton as SEC ChairmanGroups press Clayton to prioritize uniform fiduciary rule for brokers and advisors.
May 01, 2017
What to Look for When Hiring Young PlannersWhen contemplating staffing decisions for your firm, things such as timing, expectations, compensation, personality and skill set all have to align.