Advisors evaluating alts for their clients should focus on what clients want to achieve as part of a well-diversified portfolio and understand their clients' cash flow requirements.
Chattanooga, Tennessee-based William F. Winchester III was registered with LPL Financial from 2007 to 2012 and then with Raymond James Financial Services.
Experts detail the nuances of navigating ownership transition plans, and it's rarely a straightforward and easy path.
Most financial advisors aren't prepared for the next generation, and many wealthy heirs will be looking to move.
It's all part of the push by the private equity-owned network of independent broker-dealers toward an initial public offering.
Finra's action was another by the broker-dealer self-regulator that targets a best-execution failure by a member firm.
The New York City-based Zipper Duarte team generates $12.5 million in annual revenue.
When things change, recency bias would have us wait rather than move forward.
Investment firms are re-upping their investment in college women through new donations to the summer immersion program.
Elements provides a mobile Scorecard app that evaluates a prospect’s financial data and provides an evaluation score across 12 measurements.
Treat staff like clients and inform them with the best thinking about financial planning. You'll help them achieve their goals — and yours.
The hiring of Rachel Curley comes amid other leadership changes at the industry group, including a new CEO.
Toledo, Ohio-based Financial Design Group has 14 advisors. Over the winter, recruiters had cited LPL as one of the firms likely to target Securian advisors.
Zineb Bennani has worked for parent firm Natixis since 2005.
Open claims against the Iowa-based broker-dealer totaled $32.1 million at the end of 2022, eight times what it reported a year earlier, according to an SEC filing.
Investors’ happiness with their advisors took a hit last year as the stock market dived, according to J.D. Power’s annual survey.
An advisor’s plain-language explanation of financial system intricacies can help allay fears, keep emotions under control and inform better decision-making.
An expansive network of platforms and services has evolved that's designed to support breakaway brokers.
He is being replaced at Merrill Lynch by Lindsay Hans and Eric Schimpf, who have been appointed presidents and co-heads of Merrill Wealth Management.
Women achieve better results than men when they make direct investments.
