Financial Advisor blog

LPL's Ups the Ante in Its Two-Part Recruiting Deal for Employee Advisors

September 24th, 2021
LPL Financial (LPL) is increasing its recruiting efforts to hire employee financial advisors, as it plans to write fairly large checks.

Read More

Family Offices Likely to Receive Heightened Level of Regulatory Scrutiny

September 22nd, 2021
The recent downfall of Archegos Capital Management (Archegos) has sparked a debate over whether family offices should receive a heightened level of...

Read More

Observers Compare the CFA Versus the MBA

September 21st, 2021
According to FinancialPlanning, Wall Street's aspiring asset managers need to have stone-cold mastery of skills in valuing stocks and analyzing fin...

Read More

Recruiting Resurgence at Well's Independent and RIA Channels, Albeit fro...

September 20th, 2021
Wells Fargo is beginning to see increased traffic to its independent channels. Over the past month, managers at Wells have hired over a half-dozen ...

Read More

Rockefeller Transitions Large Merrill Lynch Team of Advisors

September 17th, 2021
Rockefeller Capital Management (Rockefeller) has acquired an Ohio-based Merrill Lynch advisor team generating $5 million in annual revenue.

Read More

SEC Hits Nine Firms Over 12b-1 Fees

September 16th, 2021
The Securities and Exchange Commission (SEC) continues to initiate cases against advisors for 12b-1 fee violations since ending the Share Class Sel...

Read More

Ten Commandments of Post-Pandemic Prospecting

September 15th, 2021
According to ThinkAdvisor, financial advisors should consider the following "Ten Commandments" as they market and develop their businesses in the p...

Read More

Merrill Lynch's Project Thunder -- Update

September 14th, 2021
Merrill Lynch continues to issue details related to its new advisor business development and retention program, "Project Thunder".

Read More

To Land Eye-Catching Offers Advisors Need the Right Business Mix

September 13th, 2021
Recruiters report intense recruiting wars. In that environment, experienced advisors have the opportunity to consider multiple offers and to engag...

Read More

Fidelity Investments Preparing to Hire 9,000 Employees

September 10th, 2021
Fidelity Investments announced its plan to make 9,000 new hires as the company sees record growth.

Read More

Blog

LPL's Ups the Ante in Its Two-Part Recruiting Deal for Employee Advisors

September 24th, 2021
LPL Financial (LPL) is increasing its recruiting efforts to hire employee financial advisors, as it plans to write fairly large checks.

Read More

Family Offices Likely to Receive Heightened Level of Regulatory Scrutiny

September 22nd, 2021
The recent downfall of Archegos Capital Management (Archegos) has sparked a debate over whether family offices should receive a heightened level of...

Read More

Observers Compare the CFA Versus the MBA

September 21st, 2021
According to FinancialPlanning, Wall Street's aspiring asset managers need to have stone-cold mastery of skills in valuing stocks and analyzing fin...

Read More