The latest report from the Employee Benefit Research Institute offers a significant wake-up call when it comes to single female employees and their retirement prospects.
If you’re one of the many advisers thinking about making this practice a regular occurrence, make sure the experience is both high quality and compliant.
'Moments of truth' can overcome the reluctance of many consumers to approach a financial adviser.
By using a proactive approach, firms not only save time and minimize risk, but they also instill confidence into their team from the top down.
Up to 16 awards, with up to $10,000 to be awarded per student, will be given each year, CFP Board says.
The executive, who had been senior adviser to Finra CEO Robert Cook, will spearhead regulatory integration.
Denizens of the metaverse can be ripped off by virtual investments, the North American Securities Administrators Association said in an advisory.
Riskalyze Ultimate combines two existing products, Command Center and Riskalyze Elite, to bring compliance and business development together.
The two investment banks both told staff that they will lift some of their remaining Covid-19 mitigation efforts after the Labor Day weekend.
The economics are attractive right now, and many advisers see a better future for virtually everyone involved if they join forces with a larger firm.
The agency charged the firm with failing to monitor whether wrap-fee accounts were in the best interests of clients who did little trading.
The New York-based RIA will provide four awards per year of up to $5,000 per student for individuals pursuing their CFP certification.
Financial advisers will receive advanced training on integrated practice management platforms.
A quarter of plan participants now prefer to receive 401(k) account information via email, up from 9% in 2020, according to Cerulli Associates.
The custom program will provide the group's fee-only planners with counseling and matching, including an annual valuation and an annual continuity plan.
In the newly created position, Michelle Kelley will lead the firm’s legal department and provide counsel on cybersecurity and privacy laws.
As the market sell-off erodes investors’ savings, they’re becoming more critical of the platforms provided by their retirement plans.
The firm was founded in 2011 to help refinance student loan debt but now offers an array of products, including mortgages, personal loans, insurance and a robo-adviser.
A roundup of this week's adviser fintech news, including SEI's introduction of a cloud-based database and SMArtX's partnership with Flyer.
The firm was fined $210,000 for falling short on its supervision of short-term mutual fund trades, the regulator said.
