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Finra bars former LPL rep over no-show at hearing
NEWS INDUSTRY NEWS MAY 20, 2019
Finra bars former LPL rep over no-show at hearing

Philip Nalesnik failed to inform firm of outside business activities.

Benefits of cross-selling are too big for RPAs to ignore
RETIREMENT RETIREMENT PLANNING MAY 18, 2019
Benefits of cross-selling are too big for RPAs to ignore

Demand for new revenue sources points to relationships

Best clients put meaningful guidance and exceptional service at top of adviser must-haves
YOUR PRACTICE PRACTICE MANAGEMENT MAY 17, 2019
Best clients put meaningful guidance and exceptional service at top of adviser must-haves

Investments & Wealth Institute finds client satisfaction, loyalty insufficient to set advisers apart.

Investors worldwide support ESG investing, but still want performance
INVESTING ESG MAY 16, 2019
Investors worldwide support ESG investing, but still want performance

Global survey by Natixis polled 12,375 individual investors, financial advisers and institutional investors

Merrill Lynch duo managing $1 billion moves to Raymond James
NEWS INDUSTRY NEWS MAY 16, 2019
Merrill Lynch duo managing $1 billion moves to Raymond James

William Seyle and Tim Hickey join employee unit in Allentown, Pa.

Hybrid adviser managing $140 million switches affiliation from FSC to LPL
NEWS INDUSTRY NEWS MAY 15, 2019
Hybrid adviser managing $140 million switches affiliation from FSC to LPL

Six-person Michigan Retirement Advisors is based in Bloomfield Hills.

Four-adviser team managing $530 million at UBS goes independent
NEWS INDUSTRY NEWS MAY 13, 2019
Four-adviser team managing $530 million at UBS goes independent

Hybrid firm will use Schwab as its custodian.

ETF investors see gyrating markets over next six months
INVESTING MUTUAL FUNDS MAY 10, 2019
ETF investors see gyrating markets over next six months

Schwab study finds ETF investors view vehicle as way to manage volatility.

Finra bars former America Northcoast rep over unsuitable ETF trades
INVESTING MUTUAL FUNDS MAY 10, 2019
Finra bars former America Northcoast rep over unsuitable ETF trades

Dominic Tropiano made 52 trades in two customers' accounts without their knowledge.

Only 13% of adult children would use parents' adviser: Cerulli
YOUR PRACTICE PRACTICE MANAGEMENT MAY 09, 2019
Only 13% of adult children would use parents' adviser: Cerulli

Almost 9 in 10 said they never even considered it.