Advisers like the autonomy of working from home and don’t want to have to go back to the office and wear a suit again.
The ability to roll options was previously available only to Level 3 users, who have access to more trading functionality.
Customers of the $8 trillion mutual fund giant weren't able to access certain account reports or receive trade confirmations while the website was having problems.
Emerson Equity and Triad Advisors reached end-of-the-year settlements related to complaints about poor supervision of certain mutual fund sales.
With simulations showing extreme projected portfolio outcomes, some financial advisers won't even use Monte Carlo modeling for their younger clients for fear of looking silly.
It's important for advisers to understand what they can and can't do under the agency's new marketing rules when it comes to advertising and marketing via social media and messaging apps.
The earlier-than-expected decision from the SEC could suggest a 2022 approval for a pure Bitcoin fund may not be in the cards either.
Elite Financial Network has 32 financial advisers in its network across California.
The company failed to reveal conflicts of interest concerning marketing fees paid by clients for mutual funds, according to the regulator. The independent broker-dealer 1st Global Advisors was acquired by Blucora in 2019.
A Cerulli study shows that of the roughly 103,000 advisers who plan to retire by 2030, 26% are unsure of their succession plans.
At times advisers may have to rescue clients from problems they have created by going it alone.
This month’s #AdviserTech roundup includes Halo Investing’s $100 million funding round, Orion’s acquisition of BasisCode Compliance and Geowealth’s $19 million funding round.
The agency's Standard of Conduct Implementation Committee found content and format problems after reviewing a cross section of filings.
Employees often communicated about business on their personal devices, using text messaging applications, such as WhatsApp. The compliance systems were not keeping up with technological advances, an expert said.
Breaking out of your brand’s usual programming helps break through the attention barriers of customers and prospects.
Making sustainable investing a part of firms' investment advice and portfolio management processes requires the appropriate tools.
The Onyx Advisor Network will launch in January to support advisers of color, women, LGBTQ and others who have had trouble established a foothold in the industry.
A bug earlier this year let plan sponsor clients view outside participants' data, and one man claims he and others suffered consequences.
As the pandemic and possible tax law changes lead more Americans to think about their estate plans, advisers should take the opportunity to discuss estate planning and trusts with their clients.
'I really think that our financial advisers are going to be happy about this,' one Wells Fargo executive said.
