Fiduciary Survey Closes Friday
By James J. GreenLast chance for RIAs, brokers and dually registered advisors to make their voices heard on fiduciary debate at the SEC and the DOL.
March 25, 2013
HighTower, UBS Veteran Join in New York PartnershipMK Wealth Managements principal, Mark Kravietz, is a longtime veteran of the financial services sector, most recently at UBS Financial Services.
March 22, 2013
6 Stages of Behavioral Change: Pt. 1Whose responsibility is it when clients fail to follow your advice?
March 22, 2013
Harold Evensky to SEC: Employ the ‘YOU’ Standard in Fiduciary RuleHigh-profile planner Harold Evensky says the SEC should require anyone giving personalized advice to provide a mom and pop statement describing the advisors responsibilities.
March 19, 2013
TD Ameritrade Grabs Ex-LPL RecruiterScott Collins will lead recruiting of hybrid and fee-only RIAs. Meanwhile, Wells Fargo says it has added 27 advisors this year, and Morgan Stanley brings in three from UBS.
March 19, 2013
Junxure Announces New Envestnet, Schwab Integration FeaturesHighlights of Junxure Version 9.5 include enhancements with Schwab OpenView Gateway.
March 18, 2013
What I Learned at Our Compliance Conference, Pt. 2: What SEC Examiners Are PursuingWhat are the SEC's priorities in examining investment advisors? A look at OCIE's priorities, and at what may be the most underreported development in advisor exams.
March 15, 2013
Want to Hire Young Advisors? Let Them Work With PeopleThe No. 1 role students want in a financial services firm is relationship management, a survey by Schwab Advisor Services found.