Financial Advisor Blog - Page 2 - Financial Advisor Transitions

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Wells Fargo Advisors Unveils Compensation Plans Early

November 9th, 2022

Wells Fargo Advisors' executives recently told advisors to expect only a few changes to their 2023 compensation plan as more substantial changes th...

Nontraded REITs Outperforming Publicly Traded REITs

November 8th, 2022

Many publicly traded real-estate investments (REITs) have had a rough year with rising interest rates and decreasing property prices affecting the ...

LPL's Profits Double In Third Quarter Due To Recruiting Gains

November 7th, 2022

LPL Financial recently reported that its third-quarter profits more than doubled from this time last year. After the announcement, the broker-deale...

ETFs Set Record $50 Billion Allocation Despite Market Turbulence

November 4th, 2022

One investment trend is proving remarkably consistent as the market faces volatility: dividend exchange-traded funds (ETFs) are accomplishing recor...

Stifel and Ameriprise CEOs Double Down on Recruiting Efforts In Volatile...

November 3rd, 2022

Both chief executive officers of Stifel Financial and Ameriprise Financial are prioritizing their commitment to growing their wealth businesses thr...

Ten Credentials That Boosts Advisor Credibility Among Wealthy Prospects.

November 2nd, 2022

Advisors earn many credentials throughout their careers which give prospective clients confidence in their advisors that they know what they are do...

UBS's Aggressive Recruiting Campaign Boots Advisor Headcount

November 1st, 2022

After the launch of its aggressive recruiting campaign, UBS Wealth Management Americas successfully increased advisor headcount by 118 or almost 2 ...

Morgan Stanley Partners Full-Service Advisor Teams With Executive Relati...

October 31st, 2022

Earlier this year, Morgan Stanley launched a program that aims to remotely pair all of its executive relationship managers with advisor teams by 2023

Northern Trust's Stock Falls

October 28th, 2022

Chicago's largest locally headquartered bank, Northern Trust, experienced a 9 percent stock dive after reporting third-quarter earnings that concer...

Barred Wells Fargo Loses Appeal For Leniency

October 27th, 2022

Nancy K. Mellon has lost her bid for a reprieve from the Financial Industry Regulatory Authority (FINRA). FINRA rejected Mellon's appeal to overt...

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FTX.com Assets Frozen By Bahamas Securities Commission

November 23rd, 2022

The Bahamas Securities Commission has announced that it will freeze FTX Digital Markets assets.

Uproar Results Over Advisor Being Sanctioned by CFP Board

November 22nd, 2022

Advisors are speaking out after one of their own, David R. Nute, a Seattle-based advisor, received a revocation of his Certified Financial Planning...

Morgan Stanley Freezes Accounts Amid Backlog

November 21st, 2022

Morgan Stanley recently informed advisors that they would have to close or freeze several accounts amid a due diligence backlog effective immediate...

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