A free meal can help win new clients, but some advisers say the prospecting strategy is dated and projects a bad image.
A NASAA exam sweep shows that more than half of advisers lack policies and procedures to address exploitation of elderly clients.
The addition of Axio Financial will add structured notes to the iCapital platform, marking the first product technically available to retail investors.
The Planned Approach, managing $266 million, is joining Buckingham Strategic Wealth, a St. Louis-based RIA in which Focus owns a majority stake.
It seems as though the pandemic should have provided the motivation for advisers to address their continuity needs.
The plan is aimed at small to midsize businesses that have less than $25 million in retirement plan assets
Invest in Others' Catalyst Award winner is Ralph Ujano for his work with Helping Hands for Single Moms Dallas.
The wealth management chief at BMO Financial will succeed Kathy Murphy, who plans to step down before the end of the year.
The broker, Shaiful Chowdhury, was arrested for possession of 10 pounds of marijuana a month after he joined Merrill Lynch in New York City.
The more individually tailored a communication to a customer is, the more likely it is a recommendation, SEC Commissioner Allison Herren Lee said during the NASAA fall meeting.
James Katz tailors his RIA, Humankind Investments, to serve clients who place the greater good at the top of mind.
Carrie Turcotte and Crystal Walker run NorthShore Financial Strategies in Chattanooga, Tennessee.
Known as the Inter Alia Group, four reps and four associates make switch in Portland, Oregon.
The cybersecurity solution, which aims to protect advisers and their end clients' business email, comes from tech firm Armorblox.
AdvicePay, the payment tool co-founded by Michael Kitces, is trying to make it easier for large advisory firms to adopt differing fee models — and accept payment in a compliant manner.
The broker-dealer self-regulator launched the exam sweep a couple of weeks after the Securities and Exchange Commission released a request for comment about the “digital engagement practices” used by investment advisers and broker-dealers.
A J.D. Power study finds that only 43% of users say it’s easy to locate needed information on retirement plan sites.
The salesman, Anthony DeJohn, improperly used BMO's funds by charging to his corporate card and obtaining reimbursement for $2,270 in daily commuting expenses, according to Finra.
Altus Consulting Group, based in Texas and Wisconsin, becomes an office of supervisory jurisdiction.
Sandstone Wealth and its two advisers were formerly affiliated with Raymond James and Royal Alliance.
