Those in a private LinkedIn chat room were sounding off about fears the independent broker-dealer will require a move to ClientWorks before it is fully ready.
Webster Bank will use a hybrid digital adviser to grow beyond the Northeast.
Ameriprise, AXA Advisors, Edward Jones, LPL, Morgan Stanley, RBC, Wells Fargo and UBS call on organization to stand down until SEC proposes its own rule later this year.
Independent broker-dealers have narrowed the gap between themselves and the wirehouses and are able to attract more quality brokers from the Big Four.
If advisers commit to staying at FiNet for a two-to-three year period, they will not have to pay Wells the fees it currently charges advisers switching channels.
Five-person team in Winter Park, Fla., shifts to firm's employee channel.
Investors Capital, J.P. Turner and VSR to pay $698,612 for pushing higher-priced fund classes.
Firms such as Dynasty Financial Partners and Raymond James have seen an uptick in engagement among wirehouse brokers.
The association of small advisers had been affiliated with the recently-acquired NPC.
Calif.-based Continuum Advisory makes change after only 20 months.
Four Points Capital Partners clients of Zachary Berkey and Daniel Fischer said to have lost $573,867.
Women-owned Carlsbad, Calif.-based firm specializes in serving women.
"Independent advisory and brokerage " is a more precise description for firms with proper fees and services.
Strategic Partners of Kansas oversees 38 advisers.
Compliance teams must rigorously vet the records of new advisers in order to limit the risks that come with consolidation-driven recruits.
How do firms and brokers or executives continue to make the same sorts of mistakes while Finra and the SEC consistently miss the transgression?
Kenneth Neuner, terminated by Summit Brokerage, was an arbitration no-show
London-based European Wealth Group is acquiring the U.S. independent broker-dealer, which has about 200 reps and advisers.
The new CEO takes on a huge acquisition and imposes new rules on incoming financial advisers.
Don't panic, but seize the chance to investigate other firms
