LPL Nabs $1B Securities America Team
By Janet LevauxThe news comes one week after SagePoint, another Advisor Group broker-dealer, recruited a $503 million group from LPL Financial.
November 23, 2020
Pershing's Lockwood Rolls Out New UMA ProgramThe minimum account size for the UMA is $50,000, and its annual program fee starts at 30 basis points.
November 22, 2020
Annuities Could Stop Retirees From Going Broke. Why Don't More People Use Them?The Stanford Longevity Project and Principal Financial Group look at why many retirees don't use annuities and how to address their concerns.
November 20, 2020
10 Favorite Investing Books: Advisors' AdviceAdvisors told us about the books that helped them build their investing knowledge and shape their strategies.
November 20, 2020
Commonwealth Expanding Menu of VIP Options in 2021Commonwealth Connect and Brand Studio are two areas of focus for the firm in 2021 and beyond.
November 19, 2020
SEC: Compliance Officers Need More AuthorityA new Risk Alert flags numerous areas where advisors are falling short on the Compliance Rule.
November 19, 2020
SEC Enacts Long-Awaited E-Signature RulesThe amendments include requiring electronic filing and service of documents in administrative proceedings.
November 19, 2020
40% of Advisors Say Switching Firms Is Easier Than Before Pandemic: FidelityTech enhancements have made the process easier as advisors working remotely have learned the benefits of flexibility, Fidelity says.