Nitrogen Unveils Platform Updates at Fearless
By Jeff BermanLead Management software, coming in 2024, uses AI-driven predictive analytics to help advisors' prospecting.
October 04, 2023
Final DOL Independent Contractor Rule Lands at OMBThe Financial Services Institute has maintained that DOL's new rule should be withdrawn.
October 04, 2023
LPL Adds $1B Team to Employee Advisor ChannelThe three-person team joined Linsco by LPL Financial from Fifth Third Private Bank and launched PB FAM Private Wealth.
October 03, 2023
Robo Portfolios Vary Widely for Same Client Profile: MorningstarSome robo-advisors, however, suggested identical allocations for two hypothetical clients with different goals and timelines.
October 03, 2023
Creative Planning Adds $1.4B Advisory FirmThe acquired RIA firm, based in Berwyn, Pennsylvania, is focused on helping clients with business succession planning.
October 03, 2023
FINRA Fines Former LPL Rep for Faking 30 Clients' SignaturesThe regulator also suspended the former broker for four months.
October 03, 2023
Expelled New York BD to Pay $235K for Reg BI ViolationsSW Financial recommended a risky strategy that lost money while reps collected $660,000 in commissions, the SEC said.
October 03, 2023
House Panel OKs Legislation to Raise HSA Contribution LimitsThe legislation would also allow workers over 65 to make HSA contributions while on Medicare.