The SEC doesn’t care whether advisors or staff are banned from using apps or tools. What’s important to them is that firms fulfill their capture and retention responsibilities.
See how much brokers earn on sales of various products at 43 independent broker-dealers, according to data the firms provided to InvestmentNews Research.
Maria Lettini will take the helm of the influential group as sustainable investing has become a political rallying cry for some state leaders.
Financial advisors should pay attention to regulators' concerns, since it's often advisors or firm executives who don't follow industry rules to the letter who may be discharged.
The firm provides marketing services to more than 500 independent advisors; its affiliated RIA, AE Wealth Management, will make the tool available to its advisors.
Webull Financial failed to conduct adequate due diligence on customers, Finra found, but the company did not admit or deny fault.
CEO Bill Hamm said the net capital deficit of $120,000 shown in IFP's Focus report was the result of accrual accounting.
Speaking at the American College's Women Working in Wealth conference, the CEO of J.P. Morgan Wealth Management said the firm aims to win clients early and then ease them into ever more personalized advisory services.
The latest comes from FMG Suite, which announced a new AI engine that will automatically generate personalized social media content.
But the allegations cited in Dickson's BrokerCheck report are not specific; Dickson had led the firm since 2018.
Investment teams in the highest quartile for gender diversity outperformed others by 45 basis points, according to Willis Towers Watson.
Several unique elements affect women advisors' planning, including a greater focus on the established relationships between staff and clients and on the maintenance of culture within their practice.
The 25-year industry veteran and managing partner of Merchant Investment Management works extensively with RIAs.
More than 40% of women believe the US is currently in a financial crisis, with another 24% believing that it is nearing one, according to a Nationwide survey.
The expansion of the map over the last five years shows the innovation that's occurring in the fintech sector and the many choices available to advisors.
Ameriprise jumped into the bank broker market in 2017 when it acquired Investment Professionals Inc.
Ralph Hamers received $13 million for his second full year in the job while the overall bonus pool for the rest of the firm was cut 10% to $3.3 billion.
Plus, BetaNXT acquires Mediant Communications, Advisor360 hires a tech executive from Amazon Web Services, and InvestCloud innovates asset management distribution.
As a management tool, compassion is hard to execute and easy to love.
Over the next month, thousands of financial advisors will travel to Florida to learn about the latest technology and how it can improve their practice.
