FINRA Bars Ex-Spartan Capital Rep
By Melanie WaddellRonald Smith failed to provide all requested information, including electronic communications, concerning excessive trades, FINRA said.
November 12, 2025
Kestra Adds Zocks AI Assistant Platform for AdvisorsThe tool allows financial pros to automate meeting preparation, notes and updates to CRM and planning systems.
November 12, 2025
Mercer Makes First ‘Tax-Only’ AcquisitionThe deal mirrors moves made by other wealth management firms interested in deepening their in-house tax expertise.
November 12, 2025
7 Retirement Savings and Spending Trends Advisors Can't IgnoreRetirees with 401(k)s need help turning their savings into reliable income, a new Vanguard report says.
November 12, 2025
What Advisor Growth Gurus See in Store for RIAsBrad Johnson and Jay Coulter will join ThinkAdvisor at 1 p.m. Eastern for a live webcast.
November 12, 2025
10 New Findings on Aging and Finances in AmericaWomen report far less retirement confidence than men, according to a Pew Research survey of 8,750 adults.
November 12, 2025
Dealing With a 'Messy' IRSAdvisors should plan ahead for tax filing season and prepare clients for potential delays, analyst Jeff Bush says.
November 11, 2025
How to Prioritize Charitable Planning With ClientsMost clients’ net worth has increased significantly, and they are in an ideal position to support favorite causes.