As the SEC marketing rule nears its first anniversary, most firms have yet to take advantage of the testimonials and endorsements it allows.
Instead of generating anxiety among advisors, sweep contains no hidden surprises, says compliance expert.
Perhaps the lack of demand among clients is a function of a lack of understanding of annuities among advisors.
'We see a lot of angst from advisors that are frustrated that the federal [SEC] firms get to' use client testimonials and reviews in advertising 'but they can’t do it in their state,' says XYPN co-founder Michael Kitces.
Brenda Morris does what she can to minimize investments that exploit animals, while still providing diversified portfolios.
The executives, all of whom are joining from other firms, will complement TIAA's current staff 'to help clients prepare for retirement and reach their financial goals,' an executive says.
Nides, former U.S. ambassador to Israel, has moved back and forth between Washington and Wall Street for years, including two stints at Morgan Stanley.
Advisors who custody exclusively with Altruist will receive free software, while firms that work other custodians will get the first 100 accounts for free.
But big banks can fall flat when it comes to building a home for financial advisors.
LPL Financial's solution is for advisors looking to retire or end business ownership to focus on clients.
‘My personal mission is to enhance the financial security of Americans,’ says Hopkins, who will serve as the firm's director of private wealth management.
Black and Hispanic women are gaining confidence in their investing knowledge.
'Advisors in the Envestnet ecosystem will have access to set-and-forget voting technology,' says iconik's Alex Thaler.
More than 200 people expected to lose their jobs.
Valkyrie Financial's Sarah Paulson wants to help fellow millennials and empower women.
But more cautious consumers are planning to stick to last year’s holiday spending budget.
The M2SD designation was launched in November 2022. Will advisors gravitate to it like they have the CFP and other titles?
Berthel Fisher has been known to sell a variety of alternative investments, which at times can be expensive and volatile.
Wall Street banking group is simplifying its operating model and leadership structure.
Global survey of family office clients pinpoints current and emerging trends.
