Compensation and Fees
What leading financial advisors, experts and firms are saying about compensation and fees for registered representatives (both independent and employee) and registered investment advisors.
J.D. Power Shares ’14 FA Poll Data
By Janet LevauxJ.D. Power & Associates says that the overall level of satisfaction among both employee and independent advisors “remains relatively high,”…
June 30, 2014
Best Investment Firms Ranked by Advisors: J.D. Power 2014 Satisfaction StudyOverall, advisors are comfortable with their firms, but many are unhappy about their latest pay packages, according to the J.D. Power Financial Advisor Satisfaction Study.
June 27, 2014
The Fall of the Face-to-Face Client MeetingRecent studies find face-to-face meetings are happening only once or twice a year; most clients, especially younger ones, prefer virtual settings.
June 27, 2014
What FINRA's top execs earnTop executives at FINRA earn significantly more than their counterparts at the SEC.
June 27, 2014
What FINRA's top execs earnTop executives at FINRA earn significantly more than their counterparts at the SEC.
June 27, 2014
What FINRA’s Top Execs Earn: ‘Living Large’Last year was a solid one for FINRA and the top executives pay packages werent too shabby, either.
June 19, 2014
Most Advisors Don’t Know Their Own FeesNearly two-thirds of advisors underestimate their fees by more than 30 basis points, a survey by Peak Advisor Alliance and Cerulli found.
June 17, 2014
How one agency moved from commissions to feesMarket shifts are demanding a move from commissions to fees but how do you go about making this change in a profitable way?