Member firms and trade associations representing them told Finra their pandemic experience has shown that supervisors don’t need to look over the shoulders of registered reps physically to ensure they’re following the rules.
Mainstream investors can now open an account with Goldman Sachs with $1,000 and a smartphone. After delaying the launch last year, Marcus Invest solidifies the bank’s goal to bring investing to a wider audience of consumers.
Freezing temperatures and power outages have affected much of the country. The deadly winter weather is testing the limits of creativity as advisers fight to serve clients and stay warm.
The WillowPointe Group, a two-adviser, five-person team, joins in Cookeville, Tennessee.
Technology is often one of the most noticeable areas in need of support — especially when compared to other retail or consumer channels, and specifically in terms of mobile apps.
In the past, advisers viewed social media as a marketing tool that targeted only millennial and Gen Z clients. That narrative has changed.
While Instagram represents a smaller scale for personal finance advice content compared with TikTok, financial advisers are still capturing clients through the platform.
More than 1,300 comments from Redditors flooded the discussion, yet trading education was largely outshined by comments comparing Fidelity’s mobile app interface to Robinhood's.
MoneyLion manages about $20.65 million in assets and offers mobile banking, automated investing and personal financial management tools
Why a 64-year-old RIA doesn't worry about building scale and has no plans to retire, even though he could fetch about $5 million for his firm in today’s white-hot market.
Firm founder Tony Arnerich is stepping down as co-CEO; Bryan Shipley becomes sole CIO in addition to co-CEO.
Rick Ferri, a proponent of keeping fees low, rattles cages by suggesting asset-based pricing is a violation of fiduciary duty.
Sharps succeeds Bill Stromberg, who remains the fund company's CEO and chairman. T. Rowe also named Céline Dufétel to the new position of chief operating officer.
Hanley Sayers will join the registered investment advisory firm in Houston, expanding Cresset's footprint to Texas.
Advisers can build their own custom model portfolios of exchange-traded funds if they agree to move a minimum of $2.5 million in assets to Betterment.
The CFP exam will again include a remote proctoring option for eligible candidates.
Women Adviser Summit speaker Shannon Spotswood of RFG Advisory says the pace of change in the advisory business 'has been put on steroids' and explains how to future-proof your business.
The change puts pressure on firms' compliance operations, experts say. Facilitating the ability of SEC staff to issue subpoenas and take testimony is expected to make enforcement more agile and effective.
Are you prepared to attract, serve and retain the next generation of clients?
As an industry, we’ve probably made business planning more complex than it needs to be. Keep it simple; it’s better to write something down than nothing, and there’s no need to put everything down.
