Financial Advisor Blog - Page 10 - Financial Advisor Transitions

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Former Securities America CEO Sues Osaic Over Confidential Separation Ag...

April 29th, 2025

Jim Nagengast, CEO of Securities America, has filed a breach of contract lawsuit against Osaic and its holding company, Artemis Holdings, L.P.

How Entrepreneurial Advisors are Driving the Future of Wealth Management

April 28th, 2025

In a recent AdvisorHub interview, John Amore, the newly appointed President of Kestra Financial, shared his perspective on the evolving wealth mana...

The Risks and Benefits of the Increase in Financial Advisors' Transition...

April 25th, 2025

According to the latest research, over 9,600 experienced financial advisors switched firms in 2024, an average of 800 per month.

Wealth Advisory Firms Face a Generational Wake-Up Call

April 24th, 2025

The largest intergenerational wealth transfer in modern history is already underway, with Baby Boomers and Gen X expected to pass down an estimated...

Fidelity Fights Back After Losing Commonwealth to LPL

April 23rd, 2025

Fidelity is mounting a strategic counteroffensive after the $2.7 billion sale of its largest broker-dealer client, Commonwealth Financial Network, ...

LPL Financial Sues Ameriprise Over Allegedly Misleading Data Breach Notices

April 21st, 2025

LPL Financial has filed suit against Ameriprise Financial, accusing its rival of defamation and tortious interference after Ameriprise allegedly se...

FINRA Proposes Accelerated Arbitration for Elderly and Ill Parties

April 21st, 2025

FINRA has submitted a proposed rule change to the SEC aimed at speeding up arbitration proceedings for parties who are elderly or suffering from se...

Bank of America Deepens Integration with Merrill as Wealth Clients Embra...

April 18th, 2025

Bank of America continues strengthening its integration with Merrill Lynch, its retail brokerage arm, as more clients adopt the parent bank's lendi...

NASAA Tightens Rules on Use of "Advisor" Title to Align with Reg BI

April 17th, 2025

The North American Securities Administrators Association (NASAA) has officially amended its model rule on dishonest or unethical business practices...

Edward Jones Seeks FDIC Approval to Launch Industrial Bank

April 16th, 2025

Edward D. Jones & Co.'s parent company, The Jones Financial Companies, has filed a new application to launch a Utah-chartered industrial bank, aimi...

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Page 10 of 89

Tips to Build Relationships at Nonprofit Events

September 10th, 2025

September marks the unofficial start of gala season in the nonprofit sector, bringing together high-net-worth individuals, community leaders, and p...

Next-Generation Investors Poised to Leave Advisors Amid Wealth Transfer

September 9th, 2025

Years of effort by financial advisors to retain younger heirs during the "great wealth transfer" have yet to produce the intended results.

CFP Professional Report Higher Compensation and Strong Career Satisfaction

September 8th, 2025

Financial planners holding Certified Financial Planner (CFP) certification earn more and report stronger career satisfaction than their non-certifi...

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