HighTower Advisors has landed Margaret Towle, a high-end investment adviser with Greycourt & Co. Inc. doing business in Seattle and Minneapolis, despite market volatility that tends to keep advisers put.
Finra has warned investment advisers to examine the effectiveness of their social-media compliance programs based on findings from recent SEC adviser examinations.
It's anything but a virtuous cycle. The markets are down. Financial advisers who base their fees on assets under management are hurting. The only fix? Raise prices. But how can you in this market?
Northern Trust latest to downsize; total layoffs among top three custody banks could top 4,450
Aims to end disciplinary proceedings against planners who declare bankruptcy
As a financial adviser, you actively promote advanced planning to your clients to help them achieve their financial goals. As a business owner, it is just as important that you do the same by creating a succession plan for your practice.
Technology is not just another expense item detracting from take-home pay and profit distributions. For top-performing Registered Investment Advisors (RIAs), it's viewed as a long-term investment that generates growth and higher profitability.
Surveys reveal women and younger bosses more apt to seek out financial help
Making it to the top of Goldman Sachs brings wealth, prestige — and apparently a waiver from Finra from taking the broker exams it regularly requires of others in the securities industry
Cetera Financial Group informed financial advisers at two of its three brokerage units last Wednesday that it plans to bring custody of various IRA and savings accounts in-house at its third broker unit, PrimeVest Financial Services Inc.
Buyer of Securities America offers carrot to the unit's brokers to entice them to stick; 'most of the advisers will stay put'
He used to be known as the charming, affable “Uncle Stan” of Brookstreet Securities Inc., the independent broker-dealer he built. Now, he's facing charges of securities fraud.
Mostly unaware of money clients put into direct accounts; 'market is bigger than many people recognize'
Advice and investment industry lowest of the low in consumer faith, survey finds; banks not regarded much better
Twas the week after Christmas, with most of Wall Street away – Except perhaps Regions bank – Who is buying Morgan Keegan today?
