Financial Advisor Blog - Page 3

FINRA Suspends and Fines Cambridge Financial Advisor Over Undisclosed Ou...

June 16th, 2026
The Financial Industry Regulatory Authority (FINRA) has suspended a Cambridge Investment Research financial advisor for three months and imposed a ...

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Top States for Financial Advisor Income Growth in 2025

June 15th, 2026
A new study from SmartAsset examined the latest Bureau of Labor Statistics data to identify the states that experienced the strongest growth in med...

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RIA Leaders Highlight Organic Growth Strategies Amid Industry Consolidation

June 11th, 2026
Registered investment advisory (RIAs) firms looking to grow in an increasingly competitive marketplace may need to rethink traditional business dev...

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Study Finds Marketing Investment Drives Organic Growth Among Large RIAs

June 8th, 2026
A new study suggests that the largest registered investment advisers increasingly distinguish themselves through marketing strategy, staffing, and ...

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Robinhood and TradePMR Expand Wealth Management Offerings for RIAs

June 4th, 2026
Robinhood and TradePMR have announced several new products and services aimed at registered investment advisers and their clients, signaling a broa...

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Charles Schwab Defends Retail Wealth Management Expansion Amid RIA Compe...

June 3rd, 2026
Charles Schwab executives are responding to concerns that the firm's growing retail wealth management business could compete with the registered in...

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FINRA Reports Record Number of Registered Representatives as Broker-Deal...

June 2nd, 2026
The securities industry ended 2025 with the highest number of registered representatives in its history, even as the number of broker-dealer firms ...

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Merrill Lynch Expands Veteran Advisor Recruiting

May 28th, 2026
Bank of America's Chief Executive Brian Moynihan recently discussed Merrill Lynch's renewed focused on recruiting experienced financial advisors, s...

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IFP Securities CEO Floats Private Equity Exit Plan Tied to Advisor Equit...

May 26th, 2026
Seven years after splitting from LPL Financial, industry veteran Bill Hamm now proposes a long-term ownership and exit strategy for his firm, IFP S...

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Financial Advisors Turn to Analogies to Explain Complex Planning Concepts

May 22nd, 2026
Financial advisors often spend years working with sophisticated financial planning concepts, but clients may struggle to understand technical langu...

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